News, Vision & Voice for the Advisory Community


Articles written by Ron Rhoades, Guest Columnist


Publish date

Ron Rhoades: Public policy concerns may well influence the outcome of the Wealthcare vs. UBS litigation.
August 11, 2011 at 3:01 PM

Ron Rhoades' crystal ball extends to 2025 when Americans finally say 'uncle' to another 15 years of having brokers' interests go first.

Why a swing-and-miss on fiduciary standards will haunt us for decades

An ounce of good sense now could save the U.S. economy a pound of unnecessary pain downstream

December 23, 2010 at 2:53 PM

Ron Rhoades: From a review of the academic literature, it appears that relatively few investment strategies, as to the design of portfolios for individual clients, withstand academic scrutiny.

One-Man Think Tank: With even governments abandoning pension plans, investors are being tossed to the fee-hungry wolves

Disclosures don't deal with the psychological issues of risk aversion, overconfidence, and cognitive dissonance.

December 2, 2010 at 5:47 AM

Ron Rhoades: The more you make brokers and advisers look the same, the more likely it is that FINRA will end up regulating them all.

What financial advisors can expect from Washington this spring: 8 predictions

Financial reform will move forward, but regulation will move backward

April 5, 2010 at 4:09 AM

Ron Rhoades: The large broker-dealer firms should be partying tonight

FINRA and SIFMA win big for Wall Street with release of Senator Dodd's bill yesterday

The proposal is a 'devastating grant of authority to the SEC to write the rules'

March 16, 2010 at 5:07 AM

Ron Rhoades: Arguably, language in the Johnson Amendment provides the SEC with the authority to craft whatever rules it wants to.

Why the New York Times fiduciary article won't deter the special interests

Consumer-protection regulations rarely get stiffer in the legislative process

March 5, 2010 at 6:26 PM

Ron Rhoades: If investment advice becomes a profession, demand will soar.
February 15, 2010 at 5:57 AM

Washington's attention to financial advice is a major step in its evolution

Part Two: The last advice model standing

Five links on the evolutionary chain toward a profession

February 15, 2010 at 5:55 AM

Ron Rhoades: Increasing attention is now being given to FINRA’s failures as a regulator

7 reasons why wirehouses shouldn't milk the old business model

Once the chief protector, FINRA and its lapses may contribute to brokers' darkening picture

January 28, 2010 at 4:34 AM

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