News, Vision & Voice for the Advisory Community
Tag
174 articles
First and foremost, the PRO would have as it members individuals (not firms) who are qualified to become members of the profession
SEC recommendations about the inherent risk of target date funds are more controversial than their author's realize, says a veteran risk assessor
A judge ruled that Ray Lucia lacked the back-up to justify his hypothetical back-tests as the SEC pins a bull's eye on the strategy
In Part 2 of a four-part series, our one-man think tank narrates the back story of today's fiduciary standoff, getting to the root of the 'insidious conflicts' that made the terms 'broker' and 'trustee' oxymoronic
MarketCounsel chief pleads for the regulator to draw a bright line between 'patently disparate and distinct' sales and advice models or risk a watered-down fiduciary standard
Rep. Maxine Waters' bill, which would require fees from advisors for the SEC, is unlikely to pass, but groups say it will push off FINRA efforts for now
The famed Top Advisor Rankings by State is an established and influential ranking but its criteria are murky and therefore misleading, according to this veteran who also vets RIAs
'Harmonization' comments by Richard Ketchum make all the talk of the group abandoning its RIA-oversight ambitions seem like bunk
Is the Securities and Exchange Commission asking for more cash to examine RIAs, getting it, then spending it on other priorities?
Brian Hamburger, David Tittsworth and Pat Burns see no gain in breathing easy with so many endgame possibilities still in play
Advisors stretching for the $100-million mark advisors need to be told what assets to count and which ones are merely hanging out
The teachable moment of Lehman's collapse seems to have dissipated, and forces of dissimilation are winning the day
Heed the cautionary tale of the recent $1.6 million settlement against an RIA and its affiliated B-D that falsely claimed they co-invested in a fund
The broker regulator takes another step towards ruling RIAs by making its arbitration process open to them
The commission says Ray Lucia back-testing is questionable but some high-profile defenders take his side
The Industry Sourcebook for RIAs
RIABiz Directory
sponsored by