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Articles tagged "GAO"


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
Alex Potts, CEO of Loring Ward: "To throw more bureaucracy at a system that has been working well ... it almost makes you cringe."

Six things to know about this week's big DC news
RIAs have the winning business model, but also more competition

Friday 1.21.11
Chuck Moran, of the CFB Board of Standards board of directors: “We were looking for a more definitive recognition of financial planning."

GAO study puts insurance agents up for scrutiny as it rejects idea of sweeping RIAs, b-ds, planners into one regulatory pool
A disappointment to those advocating for a financial planning profession, the study details the hodgepodge of regulation without recommending major changes

Wednesday 1.19.11
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Most Emailed Stories »

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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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Larry Stupski never sought much credit -- only results. But higher-ups who knew him give him unbridled kudos for his leadership at Schwab.Larry Stupski is remembered as the other man, hands down, who made Schwab great
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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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Mike Durbin (with Sanjiv Mirchandani) says that Abby Johnson signaled her intention to meld the efforts of Fidelity's various business units.Abby Johnson wins RIA respect by articulating her bold vision for Fidelity's future at the company's Executive Forum
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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