News, Vision and Voice for
the Advisory Community
advertisement

Articles tagged "Tittsworth"


Goldman Sachs CEO Lloyd Blankfein denied that his firm had an obligation to sell securities they thought would be good investments, or to disclose the company’s short position on such securities.

Regulatory Wire: Goldman Sachs opens door for the fiduciary standard; Senators pile on to the cause
Jail time for those who violate the standard? There's a new tone in Washington, D.C.

Friday 4.30.10
House and Senate financial reform bills would shift 4,000 RIAs to state oversight, but the SEC still has questions about states' resources.

Regulatory Wire: Two Senators may take on fiduciary fight, but how hard will the Obama administration push for the standard?
Plus, Doubts about state regulators' resources; a possible reprieve for California RIAs; and Schumer's under pressure on SEC funding

Friday 4.16.10
Barack Obama is painting Republicans and Wall Street executives as allies.

A newly emboldened Obama may yet win on financial services reform
Why some Washingtonians are wrong about the bill's prospects

Tuesday 3.23.10
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
Bernie Madoff did his part to help increase attendance at the Investment Adviser Association’s annual compliance conference

Four hot topics in compliance from the IAA conference
The mutual fund and ETF question gets looked at from a regulatory standpoint

Monday 3.1.10
Tim Johnson: Proposing a study instead of immediate reform of fiduciary standard

Johnson amendment a stalking horse for FINRA oversight of RIAs?
Advisor groups say legislative language lays ground for shift or regulators; others see it is a 'prudent measure'

Thursday 2.18.10
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
Edelman: "Organizations suffering from internal disarray are ignored by legislators and regulators."

What's going wrong for RIAs on Capitol Hill?
RIAs brace themselves as Senate committee takes up financial reform

Wednesday 11.11.09
David Tittworth: "It's pretty bad."

Worst of both worlds looms for RIAs in Washington
Act would gut the authority of SEC over RIAs while doubling its budget

Wednesday 11.4.09
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

From the RIABiz Directory »

The Industry Sourcebook for RIAs


An
Exclusive Webinar Video

Answering the Rarely-Answered Questions of Becoming an RIA

brought to you by Play

Browse All Archives


2014


    April
    March
    February
    January

2013


    December
    November
    October
    September
    August
    July
    June
    May
    April
    March
    February
    January

2012


    December
    November
    October
    September
    August
    July
    June
    May
    April
    March
    February
    January

2011


    December
    November
    October
    September
    August
    July
    June
    May
    April
    March
    February
    January

2010


    December
    November
    October
    September
    August
    July
    June
    May
    April
    March
    February
    January

2009


    December
    November
    October
    September
    August

Most Emailed Stories »

Fidelity's alt investments brain trust: 'It used to be three guys and a dog in Greenwich.'
38 shares
Fidelity, Goldman Sachs and Morningstar call 16 top reporters to New York to define the RIA alts problem -- and to explain how their Dream Team solves it

Bob Reynolds: They reached out and asked if we'd like to buy their proprietary business.
12 shares
Just what good Bob Reynolds' purchase of J.P. Morgan's billions -- sans sweet brand -- will do for his Great West-Putnam 401(k) empire

Derek Bruton: It allowed me to step back and look at all I had accomplished to date and where I wanted to go from here.  In the short term, I will be taking some time to prioritize and recharge.
2 shares
What is the story with Derek Bruton's sudden LPL departure?

Ned Johnson is pitching his fund brethren on a trading club concept.
1 shares
In wake of high frequency trading hoopla, Fidelity Investments is designing 'Sakura' to secure better trades for its 'shareholders'

Libby Cherrington (right) and Krista Dunton have two kids and have been married almost five years.
1 shares
How Morgan Stanley and a lesbian super-producer came to grief in South Carolina and why she alleges bias


Get the RIABiz Today
Email Alert »