Articles tagged "Committee for the Fiduciary Standard"


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DOL rule still has feet tangled in the struggle to define difference between 'suitability' and 'fiduciary'

Fiduciares keep flunking a definition of useful accountability and the giant brokerage lobby keeps exploiting its 'F'

June 27, 2016 — 6:26 PM UTC

Why luring 401(k) assets to IRA rollovers in a post-DOL-rule world remains child's play, which keeps $7.6 trillion in the IRA game and growing

Clients still hate 401(k) inflexibility around withdrawals and the DOL granted advisors the upper hand in getting clients to sign away protections with regard to pricier products

April 20, 2016 — 8:25 PM UTC

How Wall Street emasculated the DOL rule with an old-fashioned end game: 'Somebody made a deal' -- and why tort lawyers are licking their chops

End-game style politics exposed fiduciaries' lack of playoff experience, but RIAs can console themselves because DOL exposed shady dealings on 'the dark side'

April 7, 2016 — 3:10 PM UTC

Ron Rhoades: Staying on at NAPFA would have given ammunition to RIA industry foes

Shocked industry advocates are conflicted as to whether Rhoades should have stayed the course; in another industry shakeup, FPA's Marvin W. Tuttle announces he will step down

August 21, 2012 — 8:52 AM UTC

Fiduciary leaders splinter into two advocacy groups over divergent views

Knut Rostad takes six people with him to start the Institute for the Fiduciary Standard

August 25, 2011 — 5:24 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

Tom Bradley makes the case for regulatory efficiency -- and maybe, FINRA, especially for the dually registered

TD Ameritrade's chief says it's too soon to reject any idea out-of-hand.

February 11, 2011 — 1:40 PM UTC

(Updated) Groundbreaking SEC study would smash old regulatory system, creating fiduciary brokers and more regulated advisors

Controversy and conflict emerge as SIFMA, Schwab and others begin to react

January 24, 2011 — 3:16 PM UTC

Schwab takes high-profile stand opposing self-regulatory organization for advisors

Largest custodian opposes FINRA on heavily lobbied issue

January 14, 2011 — 3:09 PM UTC

Custodians defend their records in having RIA backs in battles for the fiduciary standard and against FINRA takeover

TD Ameritrade has publicly made some regulatory efforts for advisors and other say they mostly do it behind the scenes

November 23, 2010 — 5:39 AM UTC

What we all feared: 'Better' disclosure yields worse results, according to Yale professor's study

At an exclusive think-tank style conference on the Potomac, industry leaders heard the psychology behind investors' rosy view of the world.

September 27, 2010 — 5:18 AM UTC

How a surprising array of advisor groups aims to catch the SEC's ear

A conference of experts from academia, industry will examine how the fiduciary standard could work in a brokerage business

September 13, 2010 — 4:42 AM UTC

Goldman Sachs settles to make its scandal die, and Congress passes financial services reform. What does it mean for RIAs? Not much, yet.

In an attempt to sway new regulations on the fiduciary standard, an advocacy group releases a video of Goldman Sachs execs' worst moments before a Senate committee

July 16, 2010 — 3:27 AM UTC

What went right: the story of the fiduciary standard this year

A long-odds fight by advocates and a well-timed Goldman Sachs stumble and -- voilà -- brokers may have to begin putting customers' interests first

June 28, 2010 — 7:29 AM UTC

Improbable win for fiduciary standard: Congress set to hand SEC power to impose fiduciary duty on broker-dealers

Conference committee agrees on a measure that calls for six-month study and then gives SEC authority to write single set of rules for advisors and brokers

June 25, 2010 — 3:36 AM UTC