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Content tagged "Investment Adviser Association"


Investment Adviser Association

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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
Tea Partiers such as Michele Bachmann may change the enforcement landscape for investment advisors by putting some agencies on starvation budgets.

The 7 government actions that could reshape the advisory business in 2011
Funding may derail some grand plans, but regulations roll on (and so do tax threats)

Friday 1.7.11
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
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
NASSA can take consolation in what's likely a big win in its column after financial reform -- the shift in oversight of RIAs with up to $100 million in assets from SEC oversight to state regulation.

Regulatory Wire: Advocates for investment advisors disagree over priorities in the reform debate
Plus: a Washington outsider's view of reform; and FINRA's Ketchum on new fraud focus

Friday 5.28.10
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
Sen. Herb Kohl is taking on brokers, life insurers with amendment to regulate financial planners.

Revised amendment aims to heal breaches in advisor community
New oversight for financial planners may be tougher for Senators to vote against because it is seen as pro-consumer

Friday 3.19.10
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
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

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The Industry Sourcebook for RIAs



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