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RIA Regulation


About the RIA Regulation 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.

Phyllis Borzi tightens the noose on 401(k) providers that flout DOL disclosure, not without critics


The 6 biggest trends affecting the RIA business


What the RIA Hippocratic oath would look like -- in plain English


The 10 biggest threats to the RIA business heading into 2014


How the SEC has pulled a vanishing act, looking the other way while brokers with flimsy pretenses hold themselves out as trusted advisors


How Barney Frank and Chris Dodd surprised me after I got them aside for one-on-one chats


The 2013 MarketCounsel Summit is heavy on future shock


After starring in New Yorker article, Mary Jo White holds SIFMA event spellbound and 'no-admit, no-deny' is still in play


Lauren Schadle shows mettle as FPA stakes out turf in skirmish with CFP Board at its national conference in Orlando




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