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Articles tagged "Dodd-Frank"

Barney Frank and Chris Dodd are now aware of how persuasive Brian Hamburger can be as they put Vegas on their pre-Christmas calendar.

In a major 'get' MarketCounsel books Dodd and Frank to play Vegas
How Brian Hamburger booked the Martin and Lewis of financial legislators to his -- formerly -- bare-bones conference

Wednesday 4.3.13
Ron Rhoades: I’ve put a big target on my back.

Before taking a self-imposed vow of silence, Ron Rhoades sounds off on the RIA industry and tells what's it's like to hit a professional wall
The outspoken NAPFA chairman-who-wasn't covers why the Bachus bill will rise again, the true fix for RIA exams and why the term 'fee-based' is inherently 'fraudulent'

Monday 8.27.12
James Carville lent his big presence and Louisiana accent to a small event with large ambitions.

TD Ameritrade's 2012 Elite Advisor Summit gathers $89 billion of RIA assets under one Laguna Beach umbrella
Fresh off a week of D.C. intensity, the annual event crackled with strong opinions and offensive strategies

Friday 6.15.12
Les Abromovitz: If you ignore securities regulators' priorities ... you're likely to get dealt a bad hand during an exam.

The SEC will often 'tell' advisors what compliance issues deserve attention
The agency has its own ways of communicating what gets on its regulatory nerves

Monday 4.9.12
Daniel Bernstein: No one should be running their businesses on stuff which may never come to fruition.

The dark side of the 'good' regulatory changes get scrutinized at MarketCounsel Summit 2011
Advisors may get much of what they wish for but in reality it may not be so good

Monday 10.17.11
Jeremy Fletcher: The cumulative cost to implement Dodd-Frank is estimated at $2.9 billion over five years.

Eavesdropping on a Fitch Solutions event in San Francisco
Concern for the economy runs high but the news isn't all bad

Friday 10.7.11
Alex Potts: One thing is certain. This battle will continue at least through the end of this year.

Where the rewrite of financial regs stands relating to RIAs
The stakes are high and the outcome is still uncertain; here's what we know

Friday 9.30.11
Scott Brown: Before there was more flexibility for how to calculate assets under management. This enabled certain advisers to opt in or out of federal or state regulation and circumvent the legislative intent of the rule.

Cheat sheet for recent SEC regulatory changes and amendments
Why 'assets under management' are now 'regulatory assets under management'

Thursday 7.7.11
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
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Most Emailed Stories »

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Story » Mark Tibergien: It's been a dream of ours.Pershing and BNY Mellon unveil a unified, 'dream' RIA and bank custody unitRead 
Story » 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 ForumRead 
Story » 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