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5 questions advisors must prepare to answer to remain relevant Read
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At Envestnet event, Sallie Krawcheck alludes to Crager alliance, blasts women-as-niche marketers and edges perhaps closer to endorsing the RIA model

	Title	Date Published
	An advisor fee bill hits Congress again, this time gaining qualified support from RIA groups Rep. Maxine Waters' bill, which would require fees from advisors for the SEC, is unlikely to pass, but groups say it will push off FINRA efforts for now	Monday 4.22.13
	RIA loyalists slam the SEC for playing into FINRA's darkest characterizations of haplessness Is the Securities and Exchange Commission asking for more cash to examine RIAs, getting it, then spending it on other priorities?	Friday 3.1.13
	Obama makes 'really unfortunate' appointment of Elisse Walter as new SEC chairman The former FINRA, CFTC and SEC exec will replace Mary Schapiro next month as RIA leaders brace for a new round of regulatory battles	Monday 11.26.12
	What's up with Jim Dario making the leap from Pershing to TD Ameritrade The former Fidelity star -- and an almost star in 'Jaws' -- made an intra-Jersey City move but actually never left Boston	Wednesday 9.5.12
	How RIA forces squashed the Bachus bill by calling the implicit FINRA bluff Faced with the threat of more SEC exams and higher fees to pay for them, RIA leaders said in effect: Bring it on	Thursday 8.2.12
	What to make of DOL's backtrack after John Kerry, Fidelity Investments and the rest of the riled 401(k) industry cried foul The policy reversal on on self-directed accounts is a win for white-collar workers but the agency's mandating-by-bulletin was equally troubling to some observers	Wednesday 8.1.12
	How RIA industry execs took on the ultimate teamwork challenge: Conquering the highest summit in the lower 48 Training regimens for the group -- including a Green Beret and a Gulf War veteran -- ranged from crossing the Brooklyn Bridge to Google searches for portable bottles of oxygen	Thursday 7.12.12
	New DOL rule effectively kills off open-architecture option favored by some big plan participants -- and sets off the 401(k) industry The wrinkle aimed at self-directed accounts is seen as an unnecessary eleventh hour blindsiding by Fidelity, TD and the CFDD among a broad constituency	Wednesday 6.20.12
	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
	RIAs flood Capitol Hill with protests against a SRO-FINRA future on the day of the Bachus Bill hearing Schwab's Clark and TD's Schweiss lead the charge, arriving in D.C. with impassioned advisor missives predicting an 'avalanche of costly regulation'	Wednesday 6.6.12
	Bernie Clark and Skip Schweiss head to Washington next week to fight on behalf of RIAs in Bachus bill showdown With FINRA threat looking real, the Schwab and TD Ameritrade executives are urging letters and Tweets	Friday 6.1.12
	Mississippi lawyer Mercer Bullard volunteers to form an RIA SRO and nobody's laughing it off IAA won't join forces; annual cost to run an SRO could top $150 million	Thursday 3.10.11
	The RIA consensus heading into 2011: hire more and invest in more infrastructure TD Ameritrade survey shows advisors have big concerns over regulatory changes	Tuesday 12.21.10
	Wondering whether to register with the states or the SEC? It's a moving target. New York advisors still left to wonder who has power over them	Monday 12.20.10
	Custodians defend their records in having RIA backs in battles for the fiduciary standard and against FINRA takeover TD Ameritrade has publicly made some regulatory efforts for advisors and other say they mostly do it behind the scenes	Tuesday 11.23.10
	TD Ameritrade and Pershing are making moves to win RIA 401(k) assets Little-known Matrix is strong with 401(k) business for advisors and Fidelity's new 401(k) RIA solution is well-received	Wednesday 11.3.10
	Hopes dashed: Collins amendment extends fiduciary standard to BDs, but excludes variable annuity sellers Amendment under fire from state securities regulators, Consumer Federation	Friday 5.14.10
	[Updated] Why Brian Stimpfl left TD Ameritrade and where he is headed A right-hand man to Tom Bradley takes a mid-career leap	Monday 4.12.10

Articles tagged "Skip Schweiss"

An advisor fee bill hits Congress again, this time gaining qualified support from RIA groups
Rep. Maxine Waters' bill, which would require fees from advisors for the SEC, is unlikely to pass, but groups say it will push off FINRA efforts for now

RIA loyalists slam the SEC for playing into FINRA's darkest characterizations of haplessness
Is the Securities and Exchange Commission asking for more cash to examine RIAs, getting it, then spending it on other priorities?

Obama makes 'really unfortunate' appointment of Elisse Walter as new SEC chairman
The former FINRA, CFTC and SEC exec will replace Mary Schapiro next month as RIA leaders brace for a new round of regulatory battles

What's up with Jim Dario making the leap from Pershing to TD Ameritrade
The former Fidelity star -- and an almost star in 'Jaws' -- made an intra-Jersey City move but actually never left Boston

How RIA forces squashed the Bachus bill by calling the implicit FINRA bluff
Faced with the threat of more SEC exams and higher fees to pay for them, RIA leaders said in effect: Bring it on

What to make of DOL's backtrack after John Kerry, Fidelity Investments and the rest of the riled 401(k) industry cried foul
The policy reversal on on self-directed accounts is a win for white-collar workers but the agency's mandating-by-bulletin was equally troubling to some observers

How RIA industry execs took on the ultimate teamwork challenge: Conquering the highest summit in the lower 48
Training regimens for the group -- including a Green Beret and a Gulf War veteran -- ranged from crossing the Brooklyn Bridge to Google searches for portable bottles of oxygen

New DOL rule effectively kills off open-architecture option favored by some big plan participants -- and sets off the 401(k) industry
The wrinkle aimed at self-directed accounts is seen as an unnecessary eleventh hour blindsiding by Fidelity, TD and the CFDD among a broad constituency

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

RIAs flood Capitol Hill with protests against a SRO-FINRA future on the day of the Bachus Bill hearing
Schwab's Clark and TD's Schweiss lead the charge, arriving in D.C. with impassioned advisor missives predicting an 'avalanche of costly regulation'

Bernie Clark and Skip Schweiss head to Washington next week to fight on behalf of RIAs in Bachus bill showdown
With FINRA threat looking real, the Schwab and TD Ameritrade executives are urging letters and Tweets

Mississippi lawyer Mercer Bullard volunteers to form an RIA SRO and nobody's laughing it off
IAA won't join forces; annual cost to run an SRO could top $150 million

The RIA consensus heading into 2011: hire more and invest in more infrastructure
TD Ameritrade survey shows advisors have big concerns over regulatory changes

Wondering whether to register with the states or the SEC? It's a moving target.
New York advisors still left to wonder who has power over them

Custodians defend their records in having RIA backs in battles for the fiduciary standard and against FINRA takeover
TD Ameritrade has publicly made some regulatory efforts for advisors and other say they mostly do it behind the scenes

TD Ameritrade and Pershing are making moves to win RIA 401(k) assets
Little-known Matrix is strong with 401(k) business for advisors and Fidelity's new 401(k) RIA solution is well-received

Hopes dashed: Collins amendment extends fiduciary standard to BDs, but excludes variable annuity sellers
Amendment under fire from state securities regulators, Consumer Federation

[Updated] Why Brian Stimpfl left TD Ameritrade and where he is headed
A right-hand man to Tom Bradley takes a mid-career leap

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