Articles tagged "SEC"
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Why a swing-and-miss on fiduciary standards will haunt us for decades
An ounce of good sense now could save the U.S. economy a pound of unnecessary pain downstream
December 23, 2010 at 2:53 PM
The marketing naughty and nice list
Catchwords and strategies likely to draw regulators' ire -- and others that pass anyone's test
December 23, 2010 at 2:51 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
One-Man Think Tank: The fiduciary standard may sink Wall Street's advisors-on-yachts. Should we care?
How much should a professional investment advisor make?
December 7, 2010 at 5:22 AM
The biggest questions about the switch to state oversight: You tell us
RIABiz posts its first reader survey on an issue affecting a massive number of RIAs
December 7, 2010 at 5:13 AM
One-Man Think Tank: With even governments abandoning pension plans, investors are being tossed to the fee-hungry wolves
Disclosures don't deal with the psychological issues of risk aversion, overconfidence, and cognitive dissonance.
December 2, 2010 at 5:47 AM
Yesterday's proposed DOL regs underscore why default investments are the 401(k) market's giant untapped opportunity
Regulators' so-far soft approach on target date funds leaves door open for advisors to compete
November 30, 2010 at 4:35 AM
SEC's new pay-to-play rules call for you to investigate your employees' political giving
Surprisingly broad regs kick in next quarter, covering RIAs that do business with the government
November 30, 2010 at 4:12 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
One-Man Think Tank: What would Adam Smith say about the fiduciary standard?
As the SEC ruminates, the invisible hand lurks and Rhoades finds support for a strong standard in unlikely places
November 22, 2010 at 5:55 AM
One-Man Think Tank: Would your investment strategy stand up in court?
Advisors should apply due diligence not only to products and suitability, but to their overall approach, says the new ADV form.
November 3, 2010 at 6:42 AM
So you're an RIA. Be careful about calling yourself one, says the SEC
Beware of using the term as focal point for marketing; some states may have competing regulations
October 11, 2010 at 4:41 AM
It's looking official: Advisors switching to state oversight to face many more audits
State securities regulators, SEC issue first solid answers on some commonly asked questions for 4,000 advisors in limbo
September 28, 2010 at 3:58 AM
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
Frustration mounts: Experts, RIAs identify six most important unknowns about the switch to state oversight
SEC announced time frame for proposed rules
