May 7, 2012
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
Tag
fiduciary standard
34 articles
Articles tagged "fiduciary standard"
Page 1 of 3Apr 13, 2012
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'
Apr 2, 2012
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
Mar 30, 2012
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
Oct 28, 2011
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
Sep 30, 2011
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
Jul 26, 2011
A conversation between a wirehouse advisor and a senior citizen who seeks trust
Aunt Bea extracts the true meaning of the word 'fiduciary'
Mar 1, 2011
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
Jan 24, 2011
(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
Jan 24, 2011
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
Jan 21, 2011
How 10 top groups define 'fiduciary'
Obama administration, SEC, FINRA, FPA, fi360, U.S. Supreme Court and SIFMA raise fiduciary bar to different heights
Nov 22, 2010
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
Jul 16, 2010
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
Jun 25, 2010
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
Jun 24, 2010
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