Articles tagged "FINRA"
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One-Man Think Tank: Six reasons that FINRA should be dismantled
Insuperable issue: Each FINRA firm has an equity interest in FINRA - and would be entitled to a slice of its billion-dollar war chest
July 14, 2010 at 5:10 AM
Why Harold Evensky believes that a FINRA-as-devil attitude is counterproductive
The fiduciary standard-bearer is optimistic that FINRA can make fiduciary standards work in the 'real world'
July 14, 2010 at 5:10 AM
Why advisors see FINRA as the devil
A conversation with Richard Brueckner and Mark Tibergien lends perspective to this widely held view by RIAs of the b/d regulator
June 22, 2010 at 5:12 AM
Regulatory Wire (Updated): To create a successful new regulatory regime, the biggest fears of both broker-dealers and advisors must be assuaged
Plus, a DOL administrator offers hints of new 401(k) regulations to come this fall
May 14, 2010 at 5:38 AM
Debate continues: Fiduciary standard no panacea
Financial Services Institute advocates for study, deliberate look at investor protection
May 6, 2010 at 6:30 AM
The suitability standard, defined
If you've wondered, as we have, exactly what it says, wonder no more
May 5, 2010 at 4:57 AM
One-Man Think Tank: When Wall Street has investors' 'best interests' at heart, watch out
As Senate is poised to take up reform, Ron Rhoades contends the movement to create a "new" fiduciary standard is a campaign of disinformation
April 27, 2010 at 6:19 AM
What financial advisors can expect from Washington this spring: 8 predictions
Financial reform will move forward, but regulation will move backward
April 5, 2010 at 4:09 AM
Proposal would sweep RIAs, planners, brokers into one huge regulatory pool (Updated)
New board promoting the fiduciary standard would oversee 75,000
March 10, 2010 at 9:46 AM
Four hot topics in compliance from the IAA conference
The mutual fund and ETF question gets looked at from a regulatory standpoint
March 1, 2010 at 6:33 AM
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
FINRA guidance may help RIAs avoid social media blunders
Even employees' LinkedIn profiles ought to be supervised
February 26, 2010 at 7:49 AM
Johnson amendment a stalking horse for FINRA oversight of RIAs?
Advisor groups say legislative language lays ground for shift or regulators; others see it is a 'prudent measure'
February 18, 2010 at 5:24 AM
Part Two: The last advice model standing
Five links on the evolutionary chain toward a profession
February 15, 2010 at 5:55 AM
7 reasons why wirehouses shouldn't milk the old business model
Once the chief protector, FINRA and its lapses may contribute to brokers' darkening picture
