Pat Burns Guest Columnist

Cheat sheet on Wednesday's Bachus fracas

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Advanced Regulatory Compliance

Pat Burns

<p>The past two years have been some of the most momentous in the relatively short history of the RIA profession. Legislators and regulators have been gradually embracing the fiduciary standard, though whether it will fully apply to everyone calling themselves advisors remains to be seen.</p>

<p>The Department of Labor’s crusade to lower costs and increase transparency in retirement plans means a spate of new regulations affecting advisors and brokers in that market. Dodd-Frank Financial Reform, meanwhile, continues to unroll across the profession, with the biggest change being a shift to state oversight of RIAs with less than $100 million AUM. In this section, you’ll find continually updated RIABiz.com coverage on all these topics.</p>

RIA Compliance

Not all Republicans were thrilled with the plan that would make FINRA king

Cheat sheet on Wednesday's Bachus fracas

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October 4, 2023 at 2:16 AM

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Cheat sheet on Wednesday's Bachus fracas

Related Moves

October 4, 2023 at 2:16 AM

RIABiz Directory

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.css-1d1ry76{padding-top:12px;padding-bottom:12px;}Special Sections

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