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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 SEC is poised to hand RIAs the keys to the $1.3 trillion private placement market -- largely at the expense of stockbrokers

Dodd-Frank kicked off a series of events that demanded a more rational way to define the sophistication of investors and who is best able to judge investments that don't have prospectuses

Wednesday 7.20.16 by Irwin Stein

How the SEC is poised to hand RIAs the keys to the $1.3 trillion private placement market -- largel

Dodd-Frank kicked off a series of events that demanded a more rational way to define the sophistication of investors and who is best able to judge investments that don't have prospectuses

Wednesday 7.20.16 by Irwin Stein

How the SEC is poised to hand RIAs the keys to the $1.3 trillion private placement market -- largel

Dodd-Frank kicked off a series of events that demanded a more rational way to define the sophistication of investors and who is best able to judge investments that don't have prospectuses

Wednesday 7.20.16 by Irwin Stein
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The short scoop on Wall Street's claim that the DOL rule is too long

The core of the Labor Dept's rule is 237 words; blame the prolix portion on exemptions accorded to complainers' interests

Tuesday 7.19.16 by Guest Columnist Ron Rhoades

The short scoop on Wall Street's claim that the DOL rule is too long

The core of the Labor Dept's rule is 237 words; blame the prolix portion on exemptions accorded to complainers' interests

Tuesday 7.19.16 by Guest Columnist Ron Rhoades

The short scoop on Wall Street's claim that the DOL rule is too long

The core of the Labor Dept's rule is 237 words; blame the prolix portion on exemptions accorded to complainers' interests

Tuesday 7.19.16 by Guest Columnist Ron Rhoades
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Delta employees sue Fidelity for 'illegal kickbacks' from Financial Engines

The case may turn on whether Fidelity, by acting as recordkeeper and administrator, qualifies as a fiduciary and therefore breached its duty as it accepted Financial Engines' advice fees

Wednesday 7.6.16 by Irwin Stein

Delta employees sue Fidelity for 'illegal kickbacks' from Financial Engines

The case may turn on whether Fidelity, by acting as recordkeeper and administrator, qualifies as a fiduciary and therefore breached its duty as it accepted Financial Engines' advice fees

Wednesday 7.6.16 by Irwin Stein

Delta employees sue Fidelity for 'illegal kickbacks' from Financial Engines

The case may turn on whether Fidelity, by acting as recordkeeper and administrator, qualifies as a fiduciary and therefore breached its duty as it accepted Financial Engines' advice fees

Wednesday 7.6.16 by Irwin Stein
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Betterment explains why its Brexit-sparked trading halt on Friday wasn't 'suspended' trading

The $4.8-billion robo-advisor frames its trading actions in terms of discretionary management of assets but the prerogative it asserts puts RIA clients in a tight spot

Tuesday 6.28.16 by Lisa Shidler

Betterment explains why its Brexit-sparked trading halt on Friday wasn't 'suspended' tra

The $4.8-billion robo-advisor frames its trading actions in terms of discretionary management of assets but the prerogative it asserts puts RIA clients in a tight spot

Tuesday 6.28.16 by Lisa Shidler

Betterment explains why its Brexit-sparked trading halt on Friday wasn't 'suspended' tra

The $4.8-billion robo-advisor frames its trading actions in terms of discretionary management of assets but the prerogative it asserts puts RIA clients in a tight spot

Tuesday 6.28.16 by Lisa Shidler
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DOL rule still has feet tangled in the struggle to define difference between 'suitability' and 'fiduciary'

Fiduciares keep flunking a definition of useful accountability and the giant brokerage lobby keeps exploiting its 'F'

Monday 6.27.16 by Brooke Southall

DOL rule still has feet tangled in the struggle to define difference between 'suitability' a

Fiduciares keep flunking a definition of useful accountability and the giant brokerage lobby keeps exploiting its 'F'

Monday 6.27.16 by Brooke Southall

DOL rule still has feet tangled in the struggle to define difference between 'suitability' a

Fiduciares keep flunking a definition of useful accountability and the giant brokerage lobby keeps exploiting its 'F'

Monday 6.27.16 by Brooke Southall
3 Comments  
3 Comments  

LPL Financial dumps FSI then goes full swank on lobbying office -- but legislative agendas of FSI and LPL don't reveal any divide

The big broker-dealer stopped paying dues to the Financial Service Institute but it'll pay up for hot offices near the White House

Wednesday 6.8.16 by Lisa Shidler

LPL Financial dumps FSI then goes full swank on lobbying office -- but legislative agendas of FSI an

The big broker-dealer stopped paying dues to the Financial Service Institute but it'll pay up for hot offices near the White House

Wednesday 6.8.16 by Lisa Shidler

LPL Financial dumps FSI then goes full swank on lobbying office -- but legislative agendas of FSI an

The big broker-dealer stopped paying dues to the Financial Service Institute but it'll pay up for hot offices near the White House

Wednesday 6.8.16 by Lisa Shidler
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0 Comments  

Why SIFMA & Co.'s trip to a friendly North Texas court to upend the DOL rule looks more like its Alamo

Little credence is being afforded anti-DOL rule crowd that is trying to flip the script on who is screwing whom

Monday 6.6.16 by Lisa Shidler

Why SIFMA & Co.'s trip to a friendly North Texas court to upend the DOL rule looks more like

Little credence is being afforded anti-DOL rule crowd that is trying to flip the script on who is screwing whom

Monday 6.6.16 by Lisa Shidler

Why SIFMA & Co.'s trip to a friendly North Texas court to upend the DOL rule looks more like

Little credence is being afforded anti-DOL rule crowd that is trying to flip the script on who is screwing whom

Monday 6.6.16 by Lisa Shidler
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Skip Schweiss awakens FPA NorCal crowd with must-do DOL laundry list that starts with IRA billing and the need for chief laundering officers

The regional event in San Francisco with national draw -- even global draw -- gets a guy from Scotland to keep its lofty reputation up there

Skip Schweiss awakens FPA NorCal crowd with must-do DOL laundry list that starts with IRA billing an

The regional event in San Francisco with national draw -- even global draw -- gets a guy from Scotland to keep its lofty reputation up there

Skip Schweiss awakens FPA NorCal crowd with must-do DOL laundry list that starts with IRA billing an

The regional event in San Francisco with national draw -- even global draw -- gets a guy from Scotland to keep its lofty reputation up there

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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