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Articles tagged "Barbara Roper"


Don Trone: The individuals I am critical of are the members of fiduciary advocacy groups who have turned a blind eye to unethical, and in some cases, illegal behavior.

Where Barbara Roper and Ron Rhoades lose traction in their fiduciary arguments
Lay fiduciary decision-makers have difficulty in discerning conflicts of interest.

Monday 3.2.15
Before the lights went out: A consumer panel says what it knows about what it doesn't.

TD throws its first client-best-interest summit, a micro-event, by 'candlelight' in Palm Beach and ideas rise from the RIA deeps
As members of a consumer panel bitch creatively, fed up advisors dig deep for ideas that depend less on DC vicissitudes and more on RIA will and unity

Monday 6.17.13
Tom Nally and Fred  Tomczyk put their heads together before the opening session.

TD Ameritrade Institutional Elite Summit boasts big firms, big ideas and a defiance of the weather
A combined $133 billion AUM of advisors -- made up of 133 advisors -- made for rareified, if highly humid air in Palm Beach

Friday 6.14.13
Barbara Roper: This legislation does even less to achieve that goal of harmonization than it does to solve the resource problem.

Barbara Roper sends stern letter to Rep. Bachus raising new FINRA-as-SRO issues
Consumer Federation of America: Smaller firms would bear the brunt of costs and broker/advisor confusion may only increase under the contemplated bill

Monday 6.4.12
Sheryl Garrett:  “Given the funding issues currently facing the SEC, it may not get the resources to continue to regulate registered investment advisers. In that event, the Committee supports an alternative self-regulatory organization (SRO)."

Influential fiduciaries endorse bootstrapping advisory-industry SRO
Maria Elena Lagomasino and Harold Evensky among those giving nod to Mississippi law students

Monday 4.18.11
Skip Schweiss: "I had in mind that some organization that is familiar with the fiduciary standard practiced by RIAs would set the standards, then perhaps an organization like FINRA could lend its examination expertise/process/infrastructure."

Advisory factions steel for end game as SEC's verdict on FINRA SRO comes down
As action moves to Congress, a flurry of meetings and Schwab's appearance

Friday 1.14.11
Tea Partiers such as Michele Bachmann may change the enforcement landscape for investment advisors by putting some agencies on starvation budgets.

The 7 government actions that could reshape the advisory business in 2011
Funding may derail some grand plans, but regulations roll on (and so do tax threats)

Friday 1.7.11
Michael Henkel: He is passionate about moving independent advisors into the retirement plan market, but says that for now, advisors lack the tools to succeed there.

Yesterday's proposed DOL regs underscore why default investments are the 401(k) market's giant untapped opportunity
Regulators' so-far soft approach on target date funds leaves door open for advisors to compete

Tuesday 11.30.10
Speaker of the House Nancy Pelosi and House Minority Leader John Boehner

Signed, sealed, delivered: Fiduciary advocates hope SEC takes their new survey for gospel
In pressure cooker of Washington, D.C., nothing looks certain, especially after Tea Party wins

Thursday 9.16.10
The CFP Board of Standards is co-sponsoring a conference to bring top academics, industry thinkers in front of regulators. Kevin Keller, CEO, says advocacy groups can't afford to take a break now.

How a surprising array of advisor groups aims to catch the SEC's ear
A conference of experts from academia, industry will examine how the fiduciary standard could work in a brokerage business

Monday 9.13.10
Jim Sotell: Fees that were hidden are coming to the surface. That will put RIAs on a more level playing field with brokers in the retirement plan business.

How the new 12b(1) fee restrictions could transform the financial advisory industry
Brokers selling 401(k) plans may have another nail driven into their coffin

Thursday 7.22.10
Susan Collins put Goldman Sachs execs through tough questioning, then introduced an amendment on the fiduciary standard.

Hopes dashed: Collins amendment extends fiduciary standard to BDs, but excludes variable annuity sellers
Amendment under fire from state securities regulators, Consumer Federation

Friday 5.14.10
Tim Johnson: Proposing a study instead of immediate reform of fiduciary standard

Johnson amendment a stalking horse for FINRA oversight of RIAs?
Advisor groups say legislative language lays ground for shift or regulators; others see it is a 'prudent measure'

Thursday 2.18.10

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Most Emailed Stories »

Mike Durbin: You get investment in your business because you prove that you're delivering a return for it. And I feel like we're doing that.
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After years of work to gain parity with Schwab RIA custody, Fidelity is ready to show fruits of its $250 million move to gain an edge

Naureen Hassan's departure from Schwab did not necessitate a replacement nor did she take anyone's place at Morgan Stanley -- unless you want to say she replaced Greg Fleming.
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What exactly to make of Morgan Stanley poaching robo-talent Naureen Hassan from Schwab on the heels of Greg Fleming's departure

Tom Nally: The perception [is] that RIAs are operating in the Wild, Wild West. As a result, we need to take this issue off of the table.
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With Veo Village hive buzzing in background, Tom Nally rides herd on RIA 'Wild West' threats at vibrant LINC 2016

 Mark Egan: Holding brokers to a fiduciary standard over the period 2008-2012 would have increased investor returns by as much as 2.73% per annum.
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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

ETF.com's Dave Nadig [l.] warned that unchecked growth could exacerbate liquidity issues in the high-yield bond market.
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An advertiser's chats from the Inside ETFs event and the Vanguard-versus-the-world chess match they depict


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