Jan 14, 2011
Schwab takes high-profile stand opposing self-regulatory organization for advisors
Largest custodian opposes FINRA on heavily lobbied issue
Tag
SEC
174 articles
Articles tagged "SEC"
Page 8 of 12Jan 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
Jan 7, 2011
The 7 government actions that could reshape the advisory business in 2011
Funding may derail some grand plans, but regulations roll on (and so do tax threats)
Dec 23, 2010
Why a swing-and-miss on fiduciary standards will haunt us for decades
An ounce of good sense now could save the U.S. economy a pound of unnecessary pain downstream
Dec 23, 2010
The marketing naughty and nice list
Catchwords and strategies likely to draw regulators' ire -- and others that pass anyone's test
Dec 10, 2010
Most RIAs prefer to pay money for SEC exams now than pay in blood later under an SRO
TD Ameritrade survey comes as resistance to FINRA empowerment wells up from wide array of organizatioms
Dec 7, 2010
One-Man Think Tank: The fiduciary standard may sink Wall Street's advisors-on-yachts. Should we care?
How much should a professional investment advisor make?
Dec 7, 2010
The biggest questions about the switch to state oversight: You tell us
RIABiz posts its first reader survey on an issue affecting a massive number of RIAs
Dec 2, 2010
One-Man Think Tank: With even governments abandoning pension plans, investors are being tossed to the fee-hungry wolves
Disclosures don't deal with the psychological issues of risk aversion, overconfidence, and cognitive dissonance.
Nov 30, 2010
Yesterday's proposed DOL regs underscore why default investments are the 401(k) market's giant untapped opportunity
Regulators' so-far soft approach on target date funds leaves door open for advisors to compete
Nov 30, 2010
SEC's new pay-to-play rules call for you to investigate your employees' political giving
Surprisingly broad regs kick in next quarter, covering RIAs that do business with the government
Nov 23, 2010
Is FINRA oversight a fait accompli? It's starting to feel that way.
IAA's Tittsworth says advisors still have the chance to play up small-business angle to submarine legislation
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
Nov 3, 2010
One-Man Think Tank: Would your investment strategy stand up in court?
Advisors should apply due diligence not only to products and suitability, but to their overall approach, says the new ADV form.
Oct 11, 2010
So you're an RIA. Be careful about calling yourself one, says the SEC
Beware of using the term as focal point for marketing; some states may have competing regulations