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RIA Compliance


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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.

Part II: Tick, tick ... How FINRA tramples on 'settled' principles of the Supreme Court, and even Adam Smith, in its sanctification of two-hatted advice



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Tick, tick, tick ... FINRA rewrites 'culture,' 'conflicts of interest' and 'ethics' into a farcical 'best interests' code after DOL drops a bomb on its suitability ethos



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Why Vanguard Group has proved impervious to a '$34.6 billion' whistleblower suit and why nobody's suggesting Vanguard execs should breathe easy



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Snakes and ladders: What to expect in the unexpectedly triumphant final DOL fiduciary rule



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Dissecting Blucora's giant act of financial engineering -- adding a broker-dealer to a software roll-up



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MarketCounsel event opens window on race to first $100-billion RIA and why a new round of 'destruction,' 'blunder,' culture wars, tech disillusionment and SRO jockeying must play out



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How Brian Hamburger's Miami Beach confab served up compliance cocktails with Lithium chasers to manic RIAs



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Small Florida RIA fights for its name as litigious $10 billion Chicago fund-picker Ariel Investments sues for brand infringement



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The SEC democratizes crowdfunding but RIAs need to guard against clients getting seated at an expanded kids' table



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