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Articles tagged "SIFMA"

Ron Rhoades channels his inner Chekhov to envision a scenario arising from a uniform fiduciary standard as per SIFMA's wishes.

A conversation between a wirehouse advisor and a senior citizen who seeks trust
Aunt Bea extracts the true meaning of the word 'fiduciary'

Tuesday 7.26.11
Larry Goldbrum: (DOL's proposed rules) will have a significant chilling and negative effect on the retirement plan community.

DOL's proposal puts the screws to legacy 401(k) providers
As SPARK, SIFMA, others cry foul at yesterday's hearing, RIAs may be sitting pretty with the right fiduciary framework in place

Wednesday 3.2.11
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
Summer's last gasp: Advocates for advisors and broker-dealers were putting in long days to prepare comments on the fiduciary standard to send to the SEC's Mary Schapiro and the other commissioners.

Old foes in the fiduciary debate join new battle to sway SEC's six-month study
Advocates were working down to the wire to submit comments by the end of yesterday

Tuesday 8.31.10
Broker Protocol: Any firm can join the protocol by contacting SIFMA.

Leerink Swann, Multi-Financial Securities Corp. and Maine Asset Management all join the Protocol for Broker Recruiting
The joining rate held steady as 29 more companies jumped on board

Friday 7.2.10
FINRA, SEC and NASSA offer guidance on the suitability standard

The suitability standard, defined
If you've wondered, as we have, exactly what it says, wonder no more

Wednesday 5.5.10
Ron Rhoades: When will Congress stand up to Wall Street?

One-Man Think Tank: When Wall Street has investors' 'best interests' at heart, watch out
As Senate is poised to take up reform, Ron Rhoades contends the movement to create a "new" fiduciary standard is a campaign of disinformation

Tuesday 4.27.10
Ed Ferrigno: It’s still extremely muddled.

Why the DOL's proposed 401(k) rules could ding brokers and leave the spoils to RIAs
SIFMA cries foul on the basis that such regulations would reduce people's access to retirement plans

Wednesday 3.3.10
Mary Schapiro: When investors receive similar services from similar financial service providers, they should be subject to the same standard of conduct

'Unthinkable' progress was made on creating a new regulatory world for advisors in 2009
Change is in the air but upcoming Senate elections complicate prospects for 2010

Thursday 12.17.09
Obama's quest for harmony may create dissonance for RIAs

Eight things necessary to keep RIAs from answering to SIFMA
Multiple strategies needed to counter deficit in numbers

Thursday 10.15.09
Bruce W. Maisel: Embraced the fiduciary standard on behalf of the American Council of Life Iinsurers

SIFMA's Taft makes anti-suitability comments but the fee crowd is wary
Mercer Bullard says that tiger is showing its stripes

Tuesday 10.6.09
David Tittsworth goes to bat for RIAs today [Tuesday]

Showdown set over whether RIAs stay under regulatory authority of the SEC [Updated!]
SIFMA and FINRA may play for regulatory control

Tuesday 10.6.09
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