Guest Columnist Ira Hammerman

Securities industry lobbyist Ira Hammerman disputes Ron Rhoades claim broker-dealers may restrain trade by threatening to boycott states with local fiduciary rules

SIFMA

Ira Hammerman

<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

The SIFMA executive vice president and general counsel says neither his organization, nor its constituents, runs afoul of anti-trust laws

Securities industry lobbyist Ira Hammerman disputes Ron Rhoades claim broker-dealers may restrain trade by threatening to boycott states with local fiduciary rules

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Securities industry lobbyist Ira Hammerman disputes Ron Rhoades claim broker-dealers may restrain trade by threatening to boycott states with local fiduciary rules

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