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Articles tagged "Tamar Frankel"


Reuven Avi-Yonah: Will the IRS be willing to take on many millions of investors or is Vanguard too big to tax?

Why Vanguard Group has proved impervious to a '$34.6 billion' whistleblower suit and why nobody's suggesting Vanguard execs should breathe easy
The SEC documented a 1981 OK on the asset manager's 'at-cost' fee structure - but if the IRS is egged on it could cost Vanguard bigtime in back taxes, penalties and future business

Tuesday 12.22.15
Ron Rhoades: "Suitability" is a failed doctrine. FINRA itself is a colossal failure, by any measure.

An in-depth analysis of FINRA's attempted takeover of RIAs and why the group should be disbanded, Part 2
FINRA's aim is to stamp out small RIAs that compete with its large Wall Street firms. Don't let it happen, pleads NAPFA's new chairman

Thursday 5.31.12
Daylian Cain: Disclosure is like a sugar pill. If it somehow relaxes us, than it does real harm.

What we all feared: 'Better' disclosure yields worse results, according to Yale professor's study
At an exclusive think-tank style conference on the Potomac, industry leaders heard the psychology behind investors' rosy view of the world.

Monday 9.27.10
The CFP Board of Standards is co-sponsoring a conference to bring top academics, industry thinkers in front of regulators. Kevin Keller, CEO, says advocacy groups can't afford to take a break now.

How a surprising array of advisor groups aims to catch the SEC's ear
A conference of experts from academia, industry will examine how the fiduciary standard could work in a brokerage business

Monday 9.13.10
Goldman Sachs' Lloyd Blankfein has said the investment bank is not a fiduciary. What is at issue, then, is what the suitability standard really is.

Regulatory Wire: How Goldman Sachs' fraud case will redirect the regulatory debate
Two Senators to offer amendment; plus, how many arbitration cases are filed because of breach of fiduciary duty? It's a lot.

Friday 4.23.10
Tamar Frankel says the Supreme Court Decision on mutual funds fees surprised and delighted her because of the pressure it puts on mutual fund boards of directors

Mutual fund industry may be too quick in declaring victory on the Supreme Court Decision
The standard is upheld but the people-with-muscle caveat is a true victory for investors, according to Tamar Frankel

Wednesday 3.31.10

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Most Emailed Stories »

Mike Durbin: You get investment in your business because you prove that you're delivering a return for it. And I feel like we're doing that.
23 shares
After years of work to gain parity with Schwab RIA custody, Fidelity is ready to show fruits of its $250 million move to gain an edge

ETF.com's Dave Nadig [l.] warned that unchecked growth could exacerbate liquidity issues in the high-yield bond market.
3 shares
An advertiser's chats from the Inside ETFs event and the Vanguard-versus-the-world chess match they depict

 Mark Egan: Holding brokers to a fiduciary standard over the period 2008-2012 would have increased investor returns by as much as 2.73% per annum.
2 shares
Part II: Tick, tick ... How FINRA tramples on 'settled' principles of the Supreme Court, and even Adam Smith, in its sanctification of two-hatted advice

Steve Dunlap: One of the things I was always so outspoken about was the engineering was great but the user-interface and the experience was something that could have been better.
2 shares
Ex-Lockwood CEO Steve Dunlap takes on role at FolioDynamix after being a customer with a bone to pick

Naureen Hassan's departure from Schwab did not necessitate a replacement nor did she take anyone's place at Morgan Stanley -- unless you want to say she replaced Greg Fleming.
1 shares
What exactly to make of Morgan Stanley poaching robo-talent Naureen Hassan from Schwab on the heels of Greg Fleming's departure


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