Articles tagged "FINRA"
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Why keeping FINRA from ruling RIAs is critical to these firms, the investor -- and even the U.S. economy
In Part 1 of a four-part series, our One Man Think Tank pulls back the lens to look at how the resolution of the fiduciary furor could reverberate nationwide
June 24, 2013 at 4:03 AM
How U.S. Bank appeared on the scene as an RIA custodian and where it might find love
Though the brand seems to scream out Generic Retail Bank, its Cincinnati RIA unit see room to wrest share from bigger, more faceless banks and the smaller brokerages
June 11, 2013 at 6:15 AM
How Jeffrey Concepcion manned up after FINRA and Lincoln Financial troubles to become an LPL giant
In only four years, his OSJ RIA has $6.2 billion in advised assets and 130 advisors, thanks to a radical cold-calling plan and lower, yes lower, payouts than other OSJs
May 14, 2013 at 6:31 AM
Dale Brown tells RIAs why SEC's fiduciary standard is too costly for their clients
Invoking his own parents' small nest egg, the FSI chief projects a 2015 Finra takeover of SEC duties for RIAs
April 26, 2013 at 4:26 AM
An advisor fee bill hits Congress again, this time gaining qualified support from RIA groups
Rep. Maxine Waters' bill, which would require fees from advisors for the SEC, is unlikely to pass, but groups say it will push off FINRA efforts for now
April 22, 2013 at 5:36 AM
Does Barron's really have a bead on the best financial advisors in America?
The famed Top Advisor Rankings by State is an established and influential ranking but its criteria are murky and therefore misleading, according to this veteran who also vets RIAs
March 21, 2013 at 5:54 PM
FINRA is making dog whistle comments hinting its SRO ambitions still simmer
'Harmonization' comments by Richard Ketchum make all the talk of the group abandoning its RIA-oversight ambitions seem like bunk
March 18, 2013 at 5:20 AM
RIA loyalists slam the SEC for playing into FINRA's darkest characterizations of haplessness
Is the Securities and Exchange Commission asking for more cash to examine RIAs, getting it, then spending it on other priorities?
March 1, 2013 at 7:05 AM
FINRA's regulatory white flag may be a pause before it plays white knight to SEC's cash-starved damsel
Brian Hamburger, David Tittsworth and Pat Burns see no gain in breathing easy with so many endgame possibilities still in play
February 8, 2013 at 5:26 AM
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
Will FINRA knock out the 'serial movers' and boost the RIA option in the bargain?
A rule looked at for decades may finally gain traction
November 30, 2012 at 4:58 AM
The top 10 deepest fears -- and highest hopes -- of RIA practitioners
A decade of flatlining investment results has advisors worried about clients' faith in the very fabric of the markets
November 26, 2012 at 5:34 PM
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
Lockshin: All advisors must deal with the threat of low industry standards -- before investors do it for them
The gains of the last 20 years could be scuttled if advisors don't band together to raise the standards of training and education
