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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 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

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