Articles tagged "IAA"
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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
Eavesdropping on the IAA: JP Morgan exec challenges advisors on FINRA
SRO remains overarching concern; many advisors haven't finished their ADVs; anxiety rises about 'the switch'
March 11, 2011 at 3:26 PM
Mississippi lawyer Mercer Bullard volunteers to form an RIA SRO and nobody's laughing it off
IAA won't join forces; annual cost to run an SRO could top $150 million
March 10, 2011 at 5:37 AM
New Fidelity survey shows advisors are running scared about compliance costs
RIAs, compliance experts and a research group diverge wildly on future costs but a baseline increase in the single-digit thousands seems inevitable
March 7, 2011 at 1:28 PM
(Updated) Groundbreaking SEC study would smash old regulatory system, creating fiduciary brokers and more regulated advisors
Controversy and conflict emerge as SIFMA, Schwab and others begin to react
January 24, 2011 at 3:16 PM
(Updated) SEC presses case for user fees in much-anticipated report to Congress
While giving downsides for the idea of an SRO to govern advisors, the SEC opens the door for Congress to consider all options
January 20, 2011 at 2:36 PM
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
Advisory factions steel for end game as SEC's verdict on FINRA SRO comes down
As action moves to Congress, a flurry of meetings and Schwab's appearance
January 14, 2011 at 3:05 PM
Wondering whether to register with the states or the SEC? It's a moving target.
New York advisors still left to wonder who has power over them
December 20, 2010 at 2:22 PM
Most RIAs prefer to pay money for SEC exams now than pay in blood later under an SRO
TD Ameritrade survey comes as resistance to FINRA empowerment wells up from wide array of organizatioms
December 10, 2010 at 4:40 AM
Is FINRA oversight a fait accompli? It's starting to feel that way.
IAA's Tittsworth says advisors still have the chance to play up small-business angle to submarine legislation
November 23, 2010 at 5:38 AM
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
Three signs RIA firms are adapting to the brave new world
Looking for change with the help of the IAA's annual report: service providers are gearing up, AUM is rising and the big firms are winning
October 5, 2010 at 4:06 AM
Signed, sealed, delivered: Fiduciary advocates hope SEC takes their new survey for gospel
In pressure cooker of Washington, D.C., nothing looks certain, especially after Tea Party wins
September 16, 2010 at 2:21 AM
What advisors should know about the next sweeping change: the switch from SEC oversight to state regulation
It could impose most on advisors spread out across multiple states
