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Articles tagged "Neil Simon"


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Neal Simon: We decided to put our money where our mouth was and we hired a full-time [recruitment] person.
February 14, 2014 at 5:26 PM

Matt Cooper: I was aggressively criticized by the CEO of what I called a roll-up for describing his firm as a private-equity-backed consolidator/roll-up.

A roll-up exec talks about owning a roll-up and calls out his fellow entrepreneurs to focus on genuine distinctions

There are private-equity backed consolidators and RIA aggregators, and subspecies of each of those, but we can call them all roll-ups

November 13, 2012 at 4:32 AM

James Carville lent his big presence and Louisiana accent to a small event with large ambitions.

TD Ameritrade's 2012 Elite Advisor Summit gathers $89 billion of RIA assets under one Laguna Beach umbrella

Fresh off a week of D.C. intensity, the annual event crackled with strong opinions and offensive strategies

June 15, 2012 at 2:45 AM

Chuck Moran, of the CFB Board of Standards board of directors: “We were looking for a more definitive recognition of financial planning."

GAO study puts insurance agents up for scrutiny as it rejects idea of sweeping RIAs, b-ds, planners into one regulatory pool

A disappointment to those advocating for a financial planning profession, the study details the hodgepodge of regulation without recommending major changes

January 19, 2011 at 3:51 PM

Tea Partiers such as Michele Bachmann may change the enforcement landscape for investment advisors by putting some agencies on starvation budgets.

The 7 government actions that could reshape the advisory business in 2011

Funding may derail some grand plans, but regulations roll on (and so do tax threats)

January 7, 2011 at 1:49 PM

In an interview with Elizabeth MacBride, above, Charles Ferguson says that because Obama blew it, reforming Wall Street will likely take decades.

DC Current: A damning view of financial services from Inside Job's director, Charles Ferguson

Film connects the dots leading to the crisis and lays blame at the doors of some unlikely candidates

November 5, 2010 at 5:00 AM

Kristina Fausti: We've entered a new regulatory era that calls for greater transparency and accountability.

How financial reform gives the SEC new bite; plus at least five other things advisors ought to know about the legislation

The new financial world will be constructed mostly out of the public eye, as regulators begin studying 150 issues Congress punted to agencies

July 26, 2010 at 3:36 AM

A strong advocate for the fiduciary standard, Frank pulled out a win in the conference committee this afternoon.

Improbable win for fiduciary standard: Congress set to hand SEC power to impose fiduciary duty on broker-dealers

Conference committee agrees on a measure that calls for six-month study and then gives SEC authority to write single set of rules for advisors and brokers

June 25, 2010 at 3:36 AM

Sen. Herb Kohl is taking on brokers, life insurers with amendment to regulate financial planners.

Revised amendment aims to heal breaches in advisor community

New oversight for financial planners may be tougher for Senators to vote against because it is seen as pro-consumer

March 19, 2010 at 7:32 PM

Kristina Fausti: The legislation adds some consumer protections and oversight of the SEC.

Senate proposal pushes most RIAs one step closer to state regulation

Senate and house bills now both seek to wrest 75% of RIAs away from SEC oversight

March 16, 2010 at 5:08 AM

Neil Simon: What we are facing... is the possibility of the end of the regulatorily-distinct investment advisory profession

Top RIA lobbyist says insurance foes have been 'more effective' in fiduciary battle but urges patience

Neil Simon: Supporters of a strict fiduciary standard can prevail with an effective end game

March 1, 2010 at 5:16 AM

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