Articles tagged "SIFMA"


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Michael Bloomberg steals the SIFMA NYC show by putting his finger on a great robo shortcoming

The Bloomberg founder dismisses auto-advice amid human brokers who cheered SIFMA's ability to keep change in check

November 13, 2014 — 5:30 AM UTC

$5 billion and $12 billion RIA principals tell worthy anecdotes (hint, Madoff), reveal secrets, to Barron's moderator at IMCA

Paul Tramontano and Ric Edelman topped a bill that offered a barn-burning tax talk from Kitces

May 9, 2014 — 4:19 AM UTC

After starring in New Yorker article, Mary Jo White holds SIFMA event spellbound and 'no-admit, no-deny' is still in play

The muscular prosecutor of security fraud and terrorism cases delivered roses -- and maybe some thorns

November 13, 2013 — 5:03 PM UTC

An X-ray of one affluent, educated and sophisticated investor's portfolio shows how it was chewed up by fees

Helping an ex-Fortune 500 retiree prepare for her appearance before Congress, the author waded through a mountain of paper only to discover that the woman was likely to outlive her portfolio

August 12, 2013 — 3:47 AM UTC

TD throws its first client-best-interest summit, a micro-event, by 'candlelight' in Palm Beach and ideas rise from the RIA deeps

As members of a consumer panel bitch creatively, fed up advisors dig deep for ideas that depend less on DC vicissitudes and more on RIA will and unity

June 17, 2013 — 4:33 AM UTC

Why MSSB's legal hardball in Idaho could bring overdue change to the Broker Protocol

As the Broker Protocol nears its 10th birthday, the author argues that branch managers who jump ship and then recruit others deserve legal cover

June 12, 2013 — 5:05 AM UTC

LPL's Bill Dwyer decides to call it quits and Robert Moore is taking over his duties

The make-it-happen statesman salesman atop a B2B selling scheme cedes control to a Mark Casady favorite

March 1, 2013 — 7:08 AM UTC

Op-Ed: The fiduciary standard is in worse shape than it was four years ago

The teachable moment of Lehman's collapse seems to have dissipated, and forces of dissimilation are winning the day

January 11, 2013 — 4:41 AM UTC

New York conference: SIFMA wants members to be like RIAs -- minus the same rules of accountability

Alan Greenspan jumped in on the mea-culpa-fest that included bracingly frank comments from a top Pimco official

October 24, 2012 — 5:32 AM UTC

Lockshin: All advisors must deal with the threat of low industry standards -- before investors do it for them

The gains of the last 20 years could be scuttled if advisors don't band together to raise the standards of training and education

August 17, 2012 — 4:27 AM UTC

An in-depth analysis of FINRA's attempted takeover of RIAs and why the group should be disbanded, Part 2

FINRA's aim is to stamp out small RIAs that compete with its large Wall Street firms. Don't let it happen, pleads NAPFA's new chairman

May 31, 2012 — 5:24 AM UTC

Why FINRA's power grab for RIAs needs to be stopped to avert the death of the profession, Part 1

Looking back from the year 2025, the author recounts how FINRA seized regulatory control and crushed the life out the once-thriving RIA channel

May 30, 2012 — 4:37 AM 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

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

DOL's proposal puts the screws to legacy 401(k) providers

As SPARK, SIFMA, others cry foul at yesterday's hearing, RIAs may be sitting pretty with the right fiduciary framework in place

March 2, 2011 — 2:31 PM UTC