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Articles tagged "David Massey"


NASSA's David Massey: “(The letter) was helpful news, which is unusual."

Deadline for state registration may have shifted; SEC's Robert Plaze offers clarity
It's nice, but it's not a rule, say compliance experts, regulators frustrated by amorphous situation

Tuesday 4.12.11
David Tittsworth: I feel alone out there a lot of the time.

Testy words pass between advisors and regulatory panelists at MarketCounsel conference
RIAs are shocked by how bad things have gotten in Washington

Friday 11.19.10
Compliance expert Cathy Vasilev says many of her clients are beginning to worry about whether they will be able to register with the states by the July 21 deadline.

Frustration mounts: Experts, RIAs identify six most important unknowns about the switch to state oversight
SEC announced time frame for proposed rules

Thursday 9.23.10
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Grant Barger: Any prospect should ask: What is your purpose?5 questions advisors must prepare to answer to remain relevant
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Mark Tibergien: It's been a dream of ours.Pershing and BNY Mellon unveil a unified, 'dream' RIA and bank custody unit
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Jeffrey Concepcion: I'd tell you the biggest victory was the vindication and comments from former co-workers.How Jeffrey Concepcion manned up after FINRA and Lincoln Financial troubles to become an LPL giant
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Jennifer Ingham: The B-D relationship is needed because in the RIA world of investments for corporate retirement plans. many funds still pay some sort of revenue sharing.Why a $1-billion Fidelity RIA is placing LPL at the heart of its 401(k) business