Articles tagged "fiduciary standard"
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CFA Institute chief minces no words about blaming and shaming bad behavior
Investment industry can blame itself if Occupy Wall Street fires back up this summer, according to John Rogers' remarks
May 7, 2012 at 9:10 PM
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 at 3:44 AM
Why it's not OK that NAPFA and FPA agree with FSI about relaxed accountability for holders of IRAs
There is no 'suitability' America and 'fiduciary' America
April 2, 2012 at 3:59 AM
Two advisors debate the financial viability of serving as a fiduciary to small accounts amid DOL's new rules
Larry Steinberg expresses big doubts but Jeff McClure sees advisors wedging in like Ace Hardware amid Home Depot and Lowe's
March 30, 2012 at 6:09 AM
What is the value proposition of a financial advisor -- and how is a budding RIA culture upping the ante?
It goes to people's relationship with money
October 28, 2011 at 2:56 PM
Where the rewrite of financial regs stands relating to RIAs
The stakes are high and the outcome is still uncertain; here's what we know
September 30, 2011 at 3:07 PM
A conversation between a wirehouse advisor and a senior citizen who seeks trust
Aunt Bea extracts the true meaning of the word 'fiduciary'
July 26, 2011 at 2:08 PM
One-Man Think Tank: Four red flags in the SEC's fiduciary report
The standard may help right an economy overweighted by finance, but there's a strong chance Wall Street will block it
March 1, 2011 at 6:09 AM
(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 at 3:16 PM
One-Man Think Tank: SEC courage likely to be tested in coming months
Study on fiduciary standard may be the most significant advance for investor protection in a half-century, but real progress will be made rule by rule
January 24, 2011 at 2:54 PM
How 10 top groups define 'fiduciary'
Obama administration, SEC, FINRA, FPA, fi360, U.S. Supreme Court and SIFMA raise fiduciary bar to different heights
January 21, 2011 at 4:24 AM
One-Man Think Tank: What would Adam Smith say about the fiduciary standard?
As the SEC ruminates, the invisible hand lurks and Rhoades finds support for a strong standard in unlikely places
November 22, 2010 at 5:55 AM
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 at 3:27 AM
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 at 3:36 AM
One-Man Think Tank: Being a fiduciary is suddenly in style, even as lawmakers dance around the issue
The conference committee puts off action for another day, but Ron Rhoades points out that the private sector is finding its own solutions
