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RIA COMPLIANCE

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.

How the DOL brought the IRS wolf to the RIA door with its 'rule' -- think IRAs

The Internal Revenue Service was always the IRA cop for individuals but now advisors may answer to the tax man

Friday 5.13.16 by Lisa Shidler

How the DOL brought the IRS wolf to the RIA door with its 'rule' -- think IRAs

The Internal Revenue Service was always the IRA cop for individuals but now advisors may answer to the tax man

Friday 5.13.16 by Lisa Shidler

How the DOL brought the IRS wolf to the RIA door with its 'rule' -- think IRAs

The Internal Revenue Service was always the IRA cop for individuals but now advisors may answer to the tax man

Friday 5.13.16 by Lisa Shidler
1 Comment  
1 Comment  

DOL glows and Invesco glowers over $10 million settlement of alleged ERISA infraction

Labor Department's Phyllis Borzi praises Invesco Trust Company for 'stepping up' but the Atlanta fund company says it did nothing wrong and was merely extracting itself from DOL overreach

Tuesday 5.3.16 by Lisa Shidler

DOL glows and Invesco glowers over $10 million settlement of alleged ERISA infraction

Labor Department's Phyllis Borzi praises Invesco Trust Company for 'stepping up' but the Atlanta fund company says it did nothing wrong and was merely extracting itself from DOL overreach

Tuesday 5.3.16 by Lisa Shidler

DOL glows and Invesco glowers over $10 million settlement of alleged ERISA infraction

Labor Department's Phyllis Borzi praises Invesco Trust Company for 'stepping up' but the Atlanta fund company says it did nothing wrong and was merely extracting itself from DOL overreach

Tuesday 5.3.16 by Lisa Shidler
1 Comment  
1 Comment  

Why crowdfunding is madness, but maybe not with an RIA at the helm

With its holier-than-thou pitches and self-dealing syndication fees, crowdfunding is really only good if you're the crowdseeker

Tuesday 4.26.16 by Columnist Irwin Stein

Why crowdfunding is madness, but maybe not with an RIA at the helm

With its holier-than-thou pitches and self-dealing syndication fees, crowdfunding is really only good if you're the crowdseeker

Tuesday 4.26.16 by Columnist Irwin Stein

Why crowdfunding is madness, but maybe not with an RIA at the helm

With its holier-than-thou pitches and self-dealing syndication fees, crowdfunding is really only good if you're the crowdseeker

Tuesday 4.26.16 by Columnist Irwin Stein
1 Comment  
1 Comment  

Don Trone's 7 reasons why the DOL rule is flawed to the point of 'folly'

Hurling jabs at opponents and proponents alike, the fiduciary maven says both sides failed to recognize and incorporate the role of RIAs

Friday 4.15.16 by Guest Columnist Don Trone

Don Trone's 7 reasons why the DOL rule is flawed to the point of 'folly'

Hurling jabs at opponents and proponents alike, the fiduciary maven says both sides failed to recognize and incorporate the role of RIAs

Friday 4.15.16 by Guest Columnist Don Trone

Don Trone's 7 reasons why the DOL rule is flawed to the point of 'folly'

Hurling jabs at opponents and proponents alike, the fiduciary maven says both sides failed to recognize and incorporate the role of RIAs

Friday 4.15.16 by Guest Columnist Don Trone
7 Comments  
7 Comments  

A veteran of securities law killed his weekend reading all 1,000 pages of the DOL rule -- and has a takeaway to share

Despite reassuring words, the rules steer ill-done-by investors down that dark alley of FINRA arbitrations where complaints go to die

Wednesday 4.13.16 by Irwin Stein

A veteran of securities law killed his weekend reading all 1,000 pages of the DOL rule -- and has a

Despite reassuring words, the rules steer ill-done-by investors down that dark alley of FINRA arbitrations where complaints go to die

Wednesday 4.13.16 by Irwin Stein

A veteran of securities law killed his weekend reading all 1,000 pages of the DOL rule -- and has a

Despite reassuring words, the rules steer ill-done-by investors down that dark alley of FINRA arbitrations where complaints go to die

Wednesday 4.13.16 by Irwin Stein
2 Comments  
2 Comments  

How Wall Street emasculated the DOL rule with an old-fashioned end game: 'Somebody made a deal' -- and why tort lawyers are licking their chops

End-game style politics exposed fiduciaries' lack of playoff experience, but RIAs can console themselves because DOL exposed shady dealings on 'the dark side'

Thursday 4.7.16 by Lisa Shidler

How Wall Street emasculated the DOL rule with an old-fashioned end game: 'Somebody made a deal&#

End-game style politics exposed fiduciaries' lack of playoff experience, but RIAs can console themselves because DOL exposed shady dealings on 'the dark side'

Thursday 4.7.16 by Lisa Shidler

How Wall Street emasculated the DOL rule with an old-fashioned end game: 'Somebody made a deal&#

End-game style politics exposed fiduciaries' lack of playoff experience, but RIAs can console themselves because DOL exposed shady dealings on 'the dark side'

Thursday 4.7.16 by Lisa Shidler
6 Comments  
6 Comments  

The DOL's final rule contains a litany of 11th hour concessions to brokers that show Wall Street lobbyists earned their keep

12(b)1 fees, variable annuities and proprietary products are all still allowed and so is partiality in the sales process

Wednesday 4.6.16 by Lisa Shidler

The DOL's final rule contains a litany of 11th hour concessions to brokers that show Wall Street

12(b)1 fees, variable annuities and proprietary products are all still allowed and so is partiality in the sales process

Wednesday 4.6.16 by Lisa Shidler

The DOL's final rule contains a litany of 11th hour concessions to brokers that show Wall Street

12(b)1 fees, variable annuities and proprietary products are all still allowed and so is partiality in the sales process

Wednesday 4.6.16 by Lisa Shidler
5 Comments  
5 Comments  

After being jostled by a lawsuit, CFP Board makes bold play to inoculate itself against future ones

Due caution or paranoia? Either way, a sour whiff of FINRA self-protectionism pervades

Friday 3.25.16 by Brooke Southall

After being jostled by a lawsuit, CFP Board makes bold play to inoculate itself against future ones

Due caution or paranoia? Either way, a sour whiff of FINRA self-protectionism pervades

Friday 3.25.16 by Brooke Southall

After being jostled by a lawsuit, CFP Board makes bold play to inoculate itself against future ones

Due caution or paranoia? Either way, a sour whiff of FINRA self-protectionism pervades

Friday 3.25.16 by Brooke Southall
1 Comment  
1 Comment  

The RIA-ification intrinsic to LPL's preemptive DOL policy changes -- yet how tightly to revenue sharing in IRAs it is hanging

LPL's super-clients like Private Advisor Group see a clear 'advisory' future but LPL is walking a more shrub-choked hybrid path

Tuesday 3.22.16 by Lisa Shidler

The RIA-ification intrinsic to LPL's preemptive DOL policy changes -- yet how tightly to revenue

LPL's super-clients like Private Advisor Group see a clear 'advisory' future but LPL is walking a more shrub-choked hybrid path

Tuesday 3.22.16 by Lisa Shidler

The RIA-ification intrinsic to LPL's preemptive DOL policy changes -- yet how tightly to revenue

LPL's super-clients like Private Advisor Group see a clear 'advisory' future but LPL is walking a more shrub-choked hybrid path

Tuesday 3.22.16 by Lisa Shidler
1 Comment  
1 Comment  

SEC launches elite unit with unspoken promise of technological parity with Wall Street

Classic RIAs should expect little change but the SEC's ability to algorithmically raise more red flags may give it better ways to go after big dogs

Monday 3.14.16 by Irwin Stein

SEC launches elite unit with unspoken promise of technological parity with Wall Street

Classic RIAs should expect little change but the SEC's ability to algorithmically raise more red flags may give it better ways to go after big dogs

Monday 3.14.16 by Irwin Stein

SEC launches elite unit with unspoken promise of technological parity with Wall Street

Classic RIAs should expect little change but the SEC's ability to algorithmically raise more red flags may give it better ways to go after big dogs

Monday 3.14.16 by Irwin Stein
0 Comments  
0 Comments