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RIA Compliance


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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.

SEC denies Freedom of Information request by RIABiz related to Virtus funds as Ameriprise and TD Ameritrade become latest biggies to cut ties



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How exactly I started a specialized RIA for under $10,000



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Where Barbara Roper and Ron Rhoades lose traction in their fiduciary arguments



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Why I disagree with Don Trone's characterization of Obama's fiduciary stance as 'punitive'



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Why Obama and the DOL are all wet when it comes to the proposed fiduciary rule



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Where Virtus stands after F-Squared seemingly led it astray, to mutual benefit



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The White House puts its best Obamacare minds behind cleaning up the 401(k) business -- starting by issuing a withering memo



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