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 — 9:10 PM 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

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 — 3:59 AM UTC

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 — 6:09 AM UTC

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 — 2:56 PM UTC

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 — 3:07 PM UTC

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 — 2:08 PM UTC

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 — 6:09 AM 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

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 — 2:54 PM UTC

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 — 4:24 AM UTC

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 — 5:55 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

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

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

June 24, 2010 — 5:13 AM UTC