Articles tagged "Bachus"
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The 10 biggest threats to the RIA business heading into 2014
The fiduciary planning model is taking shots from every angle but the jugular looks inaccessible
December 27, 2013 at 11:02 PM
Analysis: Beware of a FINRA bearing gifts for RIAs
The broker regulator takes another step towards ruling RIAs by making its arbitration process open to them
December 7, 2012 at 4:52 AM
Before taking a self-imposed vow of silence, Ron Rhoades sounds off on the RIA industry and tells what's it's like to hit a professional wall
The outspoken NAPFA chairman-who-wasn't covers why the Bachus bill will rise again, the true fix for RIA exams and why the term 'fee-based' is inherently 'fraudulent'
August 27, 2012 at 3:33 AM
Why Bachus' SRO-that-must-not-be-named would prove a tyrant to RIAs
The author says that as a private corporation endowed with governmental powers, FINRA is unsafe at any speed
August 24, 2012 at 4:02 PM
Amazed and confused: Advisors struggle to make sense of Bachus' Wall Street Journal Op-Ed salvo
House panel chief dives back into the oversight fray, but confusion persists over timing, intentions
August 7, 2012 at 3:22 AM
What happened when two advisors traveled to D.C. to be heard
Neal Hokanson and Chris Cannon, separately but with the same mission, felt like they created 'aha' moments for presumed FINRA advocates
