RIABiz

News, Vision & Voice for the Advisory Community

RIABiz

Articles tagged "Committee for the Fiduciary Standard"


Headline

Publish date


Kathleen McBride: [Non fiduciaries] want to be able to check off the box and in so doing find ways to work around the rule.

DOL rule still has feet tangled in the struggle to define difference between 'suitability' and 'fiduciary'

Fiduciares keep flunking a definition of useful accountability and the giant brokerage lobby keeps exploiting its 'F'

June 27, 2016 at 6:26 PM

Bing Waldert: 401(k) plans are difficult [when it comes] to generating income. You can set up a withdrawal but only at a certain age. If you need to take out a big chunk because of a big medical bill, you can't do that.

Why luring 401(k) assets to IRA rollovers in a post-DOL-rule world remains child's play, which keeps $7.6 trillion in the IRA game and growing

Clients still hate 401(k) inflexibility around withdrawals and the DOL granted advisors the upper hand in getting clients to sign away protections with regard to pricier products

April 20, 2016 at 8:25 PM

Knut Rostad: Phyllis Borzi moved heaven and earth with the tools she had and I think we let her down. I think we were too polite.

How Wall Street emasculated the DOL rule with an old-fashioned end game: 'Somebody made a deal' -- and why tort lawyers are licking their chops

End-game style politics exposed fiduciaries' lack of playoff experience, but RIAs can console themselves because DOL exposed shady dealings on 'the dark side'

April 7, 2016 at 3:10 PM

Ron Rhoades: I can assure you that I am doing fine.

Ron Rhoades: Staying on at NAPFA would have given ammunition to RIA industry foes

Shocked industry advocates are conflicted as to whether Rhoades should have stayed the course; in another industry shakeup, FPA's Marvin W. Tuttle announces he will step down

August 21, 2012 at 8:52 AM

Harold Evensky: They want to be in a position to raise money from industry sources and that's something we didn't want to do.

Fiduciary leaders splinter into two advocacy groups over divergent views

Knut Rostad takes six people with him to start the Institute for the Fiduciary Standard

August 25, 2011 at 5:24 AM

Sheryl Garrett:  “Given the funding issues currently facing the SEC, it may not get the resources to continue to regulate registered investment advisers. In that event, the Committee supports an alternative self-regulatory organization (SRO)."

Influential fiduciaries endorse bootstrapping advisory-industry SRO

Maria Elena Lagomasino and Harold Evensky among those giving nod to Mississippi law students

April 18, 2011 at 1:39 PM

Tom Bradley: Let’s not exclude any option out of emotion.
February 11, 2011 at 1:40 PM

Bill Crager of Envestnet: "There was a lot of momentum toward the fiduciary standard. Now the implications find their way throughout the industry."
January 24, 2011 at 3:16 PM

Nick Georgis: Schwab has had conversations with SEC staff.

Schwab takes high-profile stand opposing self-regulatory organization for advisors

Largest custodian opposes FINRA on heavily lobbied issue

January 14, 2011 at 3:09 PM

Nick Georgis:  We do not support a SRO for the RIA industry. Schwab has had conversations with SEC staff to share this point of view.

Custodians defend their records in having RIA backs in battles for the fiduciary standard and against FINRA takeover

TD Ameritrade has publicly made some regulatory efforts for advisors and other say they mostly do it behind the scenes

November 23, 2010 at 5:39 AM

Daylian Cain: Disclosure is like a sugar pill. If it somehow relaxes us, than it does real harm.

What we all feared: 'Better' disclosure yields worse results, according to Yale professor's study

At an exclusive think-tank style conference on the Potomac, industry leaders heard the psychology behind investors' rosy view of the world.

September 27, 2010 at 5:18 AM

The CFP Board of Standards is co-sponsoring a conference to bring top academics, industry thinkers in front of regulators. Kevin Keller, CEO, says advocacy groups can't afford to take a break now.

How a surprising array of advisor groups aims to catch the SEC's ear

A conference of experts from academia, industry will examine how the fiduciary standard could work in a brokerage business

September 13, 2010 at 4:42 AM

The Committee for the Fiduciary Standard recalls Goldman Sach's Lloyd Blankfein's stammering testimony with a new video cut to make a specific point.

Goldman Sachs settles to make its scandal die, and Congress passes financial services reform. What does it mean for RIAs? Not much, yet.

In an attempt to sway new regulations on the fiduciary standard, an advocacy group releases a video of Goldman Sachs execs' worst moments before a Senate committee

July 16, 2010 at 3:27 AM

Elizabeth MacBride on how a small group of advocates for advisors and the fiduciary standard influence the debate this year in Washington, D.C.

What went right: the story of the fiduciary standard this year

A long-odds fight by advocates and a well-timed Goldman Sachs stumble and -- voilà -- brokers may have to begin putting customers' interests first

June 28, 2010 at 7:29 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

Next

RIABiz Directory

The Industry Sourcebook for RIAs

   |    LISTING

Add Your Listing

RIABiz Directory sponsored by:

Directory Sponsor Logo

White Paper Postings


Common Tags


Recent Articles


Popular Writers


RIABiz logo

RIABiz

About Us

Directory

Archives

Connect

RIABiz, Mill Valley, California
Copyright © 2009-2024 RIABiz Inc. All rights reserved.