Articles tagged "David Tittsworth"


HeadlinePublish date

RIA lobby fires off letter to DOL claiming rules aimed at reining in overzealous stockbroker sales pitches chill RIA conversations with their prospects

The IAA's letter to the Labor Department asks that RIAs not get entangled in rules designed to prevent stockbrokers from making misleading pitches

April 20, 2017 — 5:16 PM UTC

TD Ameritrade pulls off amazing Summit in DC that reveals rot to the core of SEC, FINRA and ERISA system

A consumer panel sobered the crowd off the bat with war stories and then Ron Rhoades, Mercer Bullard, David Tittsworth, Sheryl Garrett, Tom Nally, Marilyn Mohrman-Gillis and others pulled no punches

September 18, 2014 — 5:54 PM UTC

Spencer Bachus's amazing turnabout from RIA villain to white knight and the miserable state of Dodd Frank's advancement of fiduciary care

Once presumed to be in FINRA's back pocket, the Alabama congressman co-sponsors H.R. 1627 -- a huge boon to SEC oversight of RIAs

July 21, 2014 — 3:40 AM UTC

An advisor fee bill hits Congress again, this time gaining qualified support from RIA groups

Rep. Maxine Waters' bill, which would require fees from advisors for the SEC, is unlikely to pass, but groups say it will push off FINRA efforts for now

April 22, 2013 — 5:36 AM UTC

RIA loyalists slam the SEC for playing into FINRA's darkest characterizations of haplessness

Is the Securities and Exchange Commission asking for more cash to examine RIAs, getting it, then spending it on other priorities?

March 1, 2013 — 7:05 AM UTC

FINRA's regulatory white flag may be a pause before it plays white knight to SEC's cash-starved damsel

Brian Hamburger, David Tittsworth and Pat Burns see no gain in breathing easy with so many endgame possibilities still in play

February 8, 2013 — 5:26 AM UTC

Obama makes 'really unfortunate' appointment of Elisse Walter as new SEC chairman

The former FINRA, CFTC and SEC exec will replace Mary Schapiro next month as RIA leaders brace for a new round of regulatory battles

November 26, 2012 — 9:33 PM UTC

TD Ameritrade plants its flag in sunny SoCal, playing host to $100 billion worth of RIAs

The Institutional Fall Regional urged innovations as RIAs become the iPhone to the wirehouse's BlackBerry

October 25, 2012 — 3:55 AM UTC

Amazed and confused: Advisors struggle to make sense of Bachus' Wall Street Journal Op-Ed salvo

House panel chief dives back into the oversight fray, but confusion persists over timing, intentions

August 7, 2012 — 3:22 AM UTC

Pershing draws a record crowd to steamy Miami but many hearts are in D.C.

INSITE produced bipartisan cheers for Bill Clinton and a split view on the FINRA battle up North

June 7, 2012 — 4:46 AM UTC

FINRA comes up with cost projections for its SRO and the CFP Board blasts them

FINRA is still angry that Boston Consulting Group did not consult them and says they created numbers "out of thin air"

May 14, 2012 — 3:59 AM UTC

Fearful that the SEC has been overworked, lobbied and bullied into a SIFMA stupor, fiduciary crowd launches 16-page missile

Among other things, the letter calls SIFMA's idea of a uniform fiduciary standard a 'broker sales standard'

April 13, 2012 — 3:44 AM UTC

Report of a possible delay in DOL's fee disclosure rule sparks apprehension among advisors and industry observers

Advisors say they can't comply with the rule until they know what's in it but one delay could lead to another

January 5, 2012 — 3:57 PM UTC

FINRA attacks Boston Consulting Group over SRO study

BCG sticks to its guns saying that the double-dip cost of SEC oversight makes any FINRA numbers moot

December 16, 2011 — 7:05 AM UTC

Influential fiduciaries endorse bootstrapping advisory-industry SRO

Maria Elena Lagomasino and Harold Evensky among those giving nod to Mississippi law students

April 18, 2011 — 1:39 PM UTC