Nov 26, 2012
The top 10 deepest fears -- and highest hopes -- of RIA practitioners
A decade of flatlining investment results has advisors worried about clients' faith in the very fabric of the markets
Tag
Financial Planning Coalition
8 articles
Articles tagged "Financial Planning Coalition"
Apr 26, 2012
Avoiding FINRA oversight may depend on talking sense to an options-trading House Republican
Spencer Bachus, known to expertly trade options for his own account, seems to be down with what transactions-based advisors like
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 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
Aug 31, 2010
Old foes in the fiduciary debate join new battle to sway SEC's six-month study
Advocates were working down to the wire to submit comments by the end of yesterday
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
Mar 19, 2010
Revised amendment aims to heal breaches in advisor community
New oversight for financial planners may be tougher for Senators to vote against because it is seen as pro-consumer
Mar 10, 2010
Proposal would sweep RIAs, planners, brokers into one huge regulatory pool (Updated)
New board promoting the fiduciary standard would oversee 75,000
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