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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.

What FINRA's CEO shuffle reveals about its waning viability as the self-funded fox guarding the investor henhouse

As Richard Ketchum departs amid fulsome praise, FINRA's failed bid to make RIAs 'rules based' combined with member unrest leave the SRO in deep dilemma mode

Thursday 8.25.16 by Natalie Carpenter

What FINRA's CEO shuffle reveals about its waning viability as the self-funded fox guarding the

As Richard Ketchum departs amid fulsome praise, FINRA's failed bid to make RIAs 'rules based' combined with member unrest leave the SRO in deep dilemma mode

Thursday 8.25.16 by Natalie Carpenter

What FINRA's CEO shuffle reveals about its waning viability as the self-funded fox guarding the

As Richard Ketchum departs amid fulsome praise, FINRA's failed bid to make RIAs 'rules based' combined with member unrest leave the SRO in deep dilemma mode

Thursday 8.25.16 by Natalie Carpenter
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Jaws drop after Dale Brown Skypes keynote address to Laser App conference with the claim: 'We were fiduciary believers long before being a fiduciary was cool'

The FSI chief's comments lit up Twitter then T3's Joel Bruckenstein and cleverDome announced a cybersecurity consortium at the San Diego gathering

Monday 8.15.16 by Timothy D. Welsh

Jaws drop after Dale Brown Skypes keynote address to Laser App conference with the claim: 'We we

The FSI chief's comments lit up Twitter then T3's Joel Bruckenstein and cleverDome announced a cybersecurity consortium at the San Diego gathering

Monday 8.15.16 by Timothy D. Welsh

Jaws drop after Dale Brown Skypes keynote address to Laser App conference with the claim: 'We we

The FSI chief's comments lit up Twitter then T3's Joel Bruckenstein and cleverDome announced a cybersecurity consortium at the San Diego gathering

Monday 8.15.16 by Timothy D. Welsh
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In exclusive RIABiz interview, Dawn Bennett tells how she's striking back at SEC after a $4-million legal drubbing has left her 30-year career in shambles

The advisor and popular radio host has hired the 'London Whale' attorney to prove she and her firm were victims of a regulatory witch hunt

Monday 8.1.16 by Sanders Wommack

In exclusive RIABiz interview, Dawn Bennett tells how she's striking back at SEC after a $4-mill

The advisor and popular radio host has hired the 'London Whale' attorney to prove she and her firm were victims of a regulatory witch hunt

Monday 8.1.16 by Sanders Wommack

In exclusive RIABiz interview, Dawn Bennett tells how she's striking back at SEC after a $4-mill

The advisor and popular radio host has hired the 'London Whale' attorney to prove she and her firm were victims of a regulatory witch hunt

Monday 8.1.16 by Sanders Wommack
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2 Comments  

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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0 Comments  

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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0 Comments