Articles tagged "SIFMA"
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Ron Rhoades tells Ira Hammerman that his response on SIFMA's behalf failed to address the 'undeniable' -- the threat of boycotts
The Kentucky professor schools the Washington lobbyist on the looming threat of broker-dealers forcing reps to sacrifice their CFP designations -- and questions Hammerman's math on 'one million employees' he claims to speak on 'behalf' of
June 20, 2019 at 6:37 PM
Securities industry lobbyist Ira Hammerman disputes Ron Rhoades claim broker-dealers may restrain trade by threatening to boycott states with local fiduciary rules
The SIFMA executive vice president and general counsel says neither his organization, nor its constituents, runs afoul of anti-trust laws
June 20, 2019 at 2:37 AM
SIFMA helps oust Bressler, Amery & Ross PC after alleged duplicity -- but weak pledge by replacement means 'issue' remains
Known DOL-rule naysayer Capital Forensics steps in to keep Broker Protocol list and draws immediate fire for stopping short of promise to avoid conflicts
January 31, 2018 at 7:59 PM
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 at 5:30 AM
$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 at 4:19 AM
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 at 5:03 PM
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 at 3:47 AM
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 at 4:33 AM
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 at 5:05 AM
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 at 7:08 AM
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 at 4:41 AM
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 at 5:32 AM
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 at 4:27 AM
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 at 5:24 AM
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
