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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.

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  

Aequitas duped 1,500 investors in 'Ponzi-like' scheme as it jetted and golfed its way to insolvency, says SEC complaint

The big picture includes blind faith in supposed guarantees on student loan debt that kept the cash flowing into a black hole

Friday 3.11.16 by Sanders Wommack

Aequitas duped 1,500 investors in 'Ponzi-like' scheme as it jetted and golfed its way to ins

The big picture includes blind faith in supposed guarantees on student loan debt that kept the cash flowing into a black hole

Friday 3.11.16 by Sanders Wommack

Aequitas duped 1,500 investors in 'Ponzi-like' scheme as it jetted and golfed its way to ins

The big picture includes blind faith in supposed guarantees on student loan debt that kept the cash flowing into a black hole

Friday 3.11.16 by Sanders Wommack
1 Comment  
1 Comment  

How indifferent ethical conduct by the investment consulting industry is giving investors a Big Short

Financial advisors are good guys -- mostly -- but the industry is halfhearted when it comes to alerting clients to alternatives risk and tax ramifications

Monday 3.7.16 by Guest Columnist Rex Macey

How indifferent ethical conduct by the investment consulting industry is giving investors a Big Shor

Financial advisors are good guys -- mostly -- but the industry is halfhearted when it comes to alerting clients to alternatives risk and tax ramifications

Monday 3.7.16 by Guest Columnist Rex Macey

How indifferent ethical conduct by the investment consulting industry is giving investors a Big Shor

Financial advisors are good guys -- mostly -- but the industry is halfhearted when it comes to alerting clients to alternatives risk and tax ramifications

Monday 3.7.16 by Guest Columnist Rex Macey
2 Comments  
2 Comments