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RIA Compliance


About the RIA Compliance section:

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.

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.

Big brokers take action on F-Squared funds and Virtus shares reel as SEC actions sink in



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How Howard Present parlayed an intern's algorithm into a small fortune -- and when the SEC says he knew of a mega-disconnect



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Persecuted Mark Cuban prosecutes the SEC and wins some mea culpas from Christopher Cox



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Schwab seeks 'jail time' for principal of RIA it fired: How Schwab's firing of a small RIA as a client became a three-year legal ordeal (Part 2)



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Michael Bloomberg steals the SIFMA NYC show by putting his finger on a great robo shortcoming



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Wealthfront's advice is now an employee benefit for Google employees' non-401(k) savings



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TD Ameritrade pulls off amazing Summit in DC that reveals rot to the core of SEC, FINRA and ERISA system



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