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Articles tagged "Neil Simon"

Kristina Fausti: We've entered a new regulatory era that calls for greater transparency and accountability.

How financial reform gives the SEC new bite; plus at least five other things advisors ought to know about the legislation
The new financial world will be constructed mostly out of the public eye, as regulators begin studying 150 issues Congress punted to agencies

 Monday 7.26.10
A strong advocate for the fiduciary standard, Frank pulled out a win in the conference committee this afternoon.

Improbable win for fiduciary standard: Congress set to hand SEC power to impose fiduciary duty on broker-dealers
Conference committee agrees on a measure that calls for six-month study and then gives SEC authority to write single set of rules for advisors and brokers

 Friday 6.25.10
Sen. Herb Kohl is taking on brokers, life insurers with amendment to regulate financial planners.

Revised amendment aims to heal breaches in advisor community
New oversight for financial planners may be tougher for Senators to vote against because it is seen as pro-consumer

 Friday 3.19.10
Kristina Fausti: The legislation adds some consumer protections and oversight of the SEC.

Senate proposal pushes most RIAs one step closer to state regulation
Senate and house bills now both seek to wrest 75% of RIAs away from SEC oversight

 Tuesday 3.16.10
Neil Simon: What we are facing... is the possibility of the end of the regulatorily-distinct investment advisory profession

Top RIA lobbyist says insurance foes have been 'more effective' in fiduciary battle but urges patience
Neil Simon: Supporters of a strict fiduciary standard can prevail with an effective end game

 Monday 3.1.10
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From the RIABiz Directory »

The Industry Sourcebook for RIAs Orion Advisor Services, LLC
Tech: Portfolio Management System
RIA Contact: Kyle Hiatt
More Info » Black Diamond Performance Reporting
Tech: Portfolio Management System
Top Executive: Reed Colley
More Info »
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