Dina Hampton

Brian Hamburger answers the questions about an SRO future that has RIA stomachs in turmoil

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FINRA

MarketCounsel

Hamburger Law Firm

Brian Hamburger

This section contains news and coverage about the dozens of conferences held in the advisory industry every year. Those conferences range from annual events put on by the big custodians to small hands-on workshops hosted by law firms, consultants and tech companies, among others. RIABiz can't cover all the conferences, but this page includes our stories about those we have written about.

We hope that getting a flavor of the different gatherings helps you decide which are worthwhile attending and &mdash; if you're in the conference business yourself &mdash; what clicks with attendees and what doesn't. Have a suggestion for a conference we should cover? Email me, Brooke Southall at <a href="mailto:brooke@riabiz.com">brooke@riabiz.com</a>.

Conferences

The past two years have been some of the most momentous in the relatively short history of the RIA profession. Legislators and regulators have been gradually embracing the fiduciary standard, though whether it will fully apply to everyone calling themselves advisors remains to be seen.

The Department of Labor’s crusade to lower costs and increase transparency in retirement plans means a spate of new regulations affecting advisors and brokers in that market. Dodd-Frank Financial Reform, meanwhile, continues to unroll across the profession, with the biggest change being a shift to state oversight of RIAs with less than $100 million AUM. In this section, you’ll find continually updated RIABiz.com coverage on all these topics.

RIA Compliance

The MarketCounsel Summit undercurrent revolves around FINRA fears, so Dina Hampton put the compliance expert on the spot about how the scenario could unfold

Brian Hamburger answers the questions about an SRO future that has RIA stomachs in turmoil

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Brian Hamburger answers the questions about an SRO future that has RIA stomachs in turmoil

Related Moves

March 9, 2023 at 1:23 AM

December 29, 2022 at 1:05 AM

RIABiz Directory

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