Lisa Shidler

This isn’t’ clear.. .IRA is going to fine advisors for doing WHAT exactly?

How the DOL brought the IRS wolf to the RIA door with its 'rule' -- think IRAs

Peter Swisher: The DOL's authority is limited to ERISA plans. The IRS retains control of enforcement. The DOL therefore gets to write the rules for IRAs though they have no power to enforce them.

Pension Resource Institute

Wagner Law Group

Jason Roberts

Pete Swisher

Macia Wagner

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 Internal Revenue Service was always the IRA cop for individuals but now advisors may answer to the tax man

How the DOL brought the IRS wolf to the RIA door with its 'rule' -- think IRAs

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How the DOL brought the IRS wolf to the RIA door with its 'rule' -- think IRAs

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