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Articles tagged "Skip Schweiss"


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Skip Schweiss: Why one exam every five months? I'd still like that question answered.

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

Elisse Walter wants a "harmonized" fiduciary standard and is set to serve as the agency's leader until late in 2013

Obama makes 'really unfortunate' appointment of Elisse Walter as new SEC chairman

The former FINRA, CFTC and SEC exec will replace Mary Schapiro next month as RIA leaders brace for a new round of regulatory battles

November 26, 2012 at 9:33 PM

Jim Dario developed respect for TD Ameritrade over the years as a competitor.

What's up with Jim Dario making the leap from Pershing to TD Ameritrade

The former Fidelity star -- and an almost star in 'Jaws' -- made an intra-Jersey City move but actually never left Boston

September 5, 2012 at 3:46 PM

Skip Schweiss: I feel like democracy worked the way it is supposed to work and that should be encouraging to all advisors.

How RIA forces squashed the Bachus bill by calling the implicit FINRA bluff

Faced with the threat of more SEC exams and higher fees to pay for them, RIA leaders said in effect: Bring it on

August 2, 2012 at 3:59 PM

Phil Chiricotti: The DOL went off the reservation...They backed off and damaged their credibility.

What to make of DOL's backtrack after John Kerry, Fidelity Investments and the rest of the riled 401(k) industry cried foul

The policy reversal on on self-directed accounts is a win for white-collar workers but the agency's mandating-by-bulletin was equally troubling to some observers

August 1, 2012 at 6:10 AM

Eric Clarke and Chip Roame atop Mount Whitney

How RIA industry execs took on the ultimate teamwork challenge: Conquering the highest summit in the lower 48

Training regimens for the group -- including a Green Beret and a Gulf War veteran -- ranged from crossing the Brooklyn Bridge to Google searches for portable bottles of oxygen

July 12, 2012 at 3:35 PM

 Phil Chiricotti: It's a needless requirement that just can't be met.

New DOL rule effectively kills off open-architecture option favored by some big plan participants -- and sets off the 401(k) industry

The wrinkle aimed at self-directed accounts is seen as an unnecessary eleventh hour blindsiding by Fidelity, TD and the CFDD among a broad constituency

June 20, 2012 at 5:44 AM

James Carville lent his big presence and Louisiana accent to a small event with large ambitions.

TD Ameritrade's 2012 Elite Advisor Summit gathers $89 billion of RIA assets under one Laguna Beach umbrella

Fresh off a week of D.C. intensity, the annual event crackled with strong opinions and offensive strategies

June 15, 2012 at 2:45 AM

Ken Robinson: It's a thinly veiled hostile takeover of independent fiduciary advisors by those who fear them the most.

RIAs flood Capitol Hill with protests against a SRO-FINRA future on the day of the Bachus Bill hearing

Schwab's Clark and TD's Schweiss lead the charge, arriving in D.C. with impassioned advisor missives predicting an 'avalanche of costly regulation'

June 6, 2012 at 5:24 AM

Bernie Clark: I'll personally deliver your message to the representatives with whom I'll be meeting.

Bernie Clark and Skip Schweiss head to Washington next week to fight on behalf of RIAs in Bachus bill showdown

With FINRA threat looking real, the Schwab and TD Ameritrade executives are urging letters and Tweets

June 1, 2012 at 4:13 AM

Mercer Bullard: "If the CFP Board, the Financial Planning Association or the Investment Adviser Association finally get their act together, they might want to get involved."

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

Skip Schweiss: RIAs are at full throttle, increasing spending on staffing, professional development and technology enhancements.

The RIA consensus heading into 2011: hire more and invest in more infrastructure

TD Ameritrade survey shows advisors have big concerns over regulatory changes

December 21, 2010 at 2:22 PM

Melanie Senter Lubin: Advisors should get their ADV form ready to filed by March 31 and also make sure they know which states they’re going to need to file with.

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

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

Skip Schweiss: We think it’s time to ramp it up.

TD Ameritrade and Pershing are making moves to win RIA 401(k) assets

Little-known Matrix is strong with 401(k) business for advisors and Fidelity's new 401(k) RIA solution is well-received

November 3, 2010 at 6:44 AM

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