Mar 7, 2011
New Fidelity survey shows advisors are running scared about compliance costs
RIAs, compliance experts and a research group diverge wildly on future costs but a baseline increase in the single-digit thousands seems inevitable
Person
David Tittsworth
28 articles
Articles tagged "David Tittsworth"
Page 2 of 2Jan 20, 2011
(Updated) SEC presses case for user fees in much-anticipated report to Congress
While giving downsides for the idea of an SRO to govern advisors, the SEC opens the door for Congress to consider all options
Jan 14, 2011
Schwab takes high-profile stand opposing self-regulatory organization for advisors
Largest custodian opposes FINRA on heavily lobbied issue
Jan 14, 2011
Advisory factions steel for end game as SEC's verdict on FINRA SRO comes down
As action moves to Congress, a flurry of meetings and Schwab's appearance
Dec 20, 2010
Wondering whether to register with the states or the SEC? It's a moving target.
New York advisors still left to wonder who has power over them
Nov 23, 2010
Is FINRA oversight a fait accompli? It's starting to feel that way.
IAA's Tittsworth says advisors still have the chance to play up small-business angle to submarine legislation
Nov 19, 2010
Testy words pass between advisors and regulatory panelists at MarketCounsel conference
RIAs are shocked by how bad things have gotten in Washington
Nov 5, 2010
DC Current: A damning view of financial services from Inside Job's director, Charles Ferguson
Film connects the dots leading to the crisis and lays blame at the doors of some unlikely candidates
Sep 16, 2010
Signed, sealed, delivered: Fiduciary advocates hope SEC takes their new survey for gospel
In pressure cooker of Washington, D.C., nothing looks certain, especially after Tea Party wins
Aug 25, 2010
What advisors should know about the next sweeping change: the switch from SEC oversight to state regulation
It could impose most on advisors spread out across multiple states
Jun 28, 2010
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
Jun 17, 2010
As House and Senate talk compromise, Barney Frank hints at a win for fiduciary advocates
In Washington end game, the fiduciary standard hangs in the balance between Barney Frank and Tim Johnson