Elizabeth MacBride

Government shutdown may wallop SEC to the long-term detriment of RIAs

Lockdown in Washington may mean a short reprieve for advisors in the midst of exams, but the looming shutdown portends nothing good for the industry in general, say lawyers

MarketCounsel

Sound Compliance Services

Brian Hamburger

Peter Mafteiu

<p>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.</p>

<p>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.</p>

RIA Compliance

Audits on hiatus; fraudsters get more of a lead; most of the SEC on skeleton staff

Government shutdown may wallop SEC to the long-term detriment of RIAs

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