News, Vision and Voice for
the Advisory Community
advertisement

Articles tagged "Mercer Bullard"


A congressman, an engineer, an airline pilot and a court reporter walk into a fiduciary conference...

TD Ameritrade pulls off amazing Summit in DC that reveals rot to the core of SEC, FINRA and ERISA system
A consumer panel sobered the crowd off the bat with war stories and then Ron Rhoades, Mercer Bullard, David Tittsworth, Sheryl Garrett, Tom Nally, Marilyn Mohrman-Gillis and others pulled no punches

Thursday 9.18.14
Dan Moisand: They have the opportunity to stop it, or screw it up worse than they already have.

Fearful that the SEC has been overworked, lobbied and bullied into a SIFMA stupor, fiduciary crowd launches 16-page missile
Among other things, the letter calls SIFMA's idea of a uniform fiduciary standard a 'broker sales standard'

Friday 4.13.12
Christy White: No 401(k) plan provider has succeeded yet in having a top brand and a top service rating..

Fidelity, Vanguard and Schwab have top 401(k) brands but plan sponsors like the service of off-brands better, study shows
In market share wars for retirement plan dollars, big and small brands alike have much to learn

Friday 7.8.11
Sheryl Garrett:  “Given the funding issues currently facing the SEC, it may not get the resources to continue to regulate registered investment advisers. In that event, the Committee supports an alternative self-regulatory organization (SRO)."

Influential fiduciaries endorse bootstrapping advisory-industry SRO
Maria Elena Lagomasino and Harold Evensky among those giving nod to Mississippi law students

Monday 4.18.11
Mercer Bullard: "If the CFP Board, the Financial Planning Association or the Investment Adviser Association finally get their act together, they might want to get involved."

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 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
Ron Rhoades: When will Congress stand up to Wall Street?

One-Man Think Tank: When Wall Street has investors' 'best interests' at heart, watch out
As Senate is poised to take up reform, Ron Rhoades contends the movement to create a "new" fiduciary standard is a campaign of disinformation

Tuesday 4.27.10




Browse All Archives


2015


    July
    June
    May
    April
    March
    February
    January

2014


    December
    November
    October
    September
    August
    July
    June
    May
    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 »

Tom Bradley: I think the average fee is 90 basis points roughly and we don't intend to change that.
41 shares
TD Ameritrade makes play to become top robo by 2016 with out-of-the-gate $100-million revenues -- albeit with some risk attached to the power play

Tom Gooley: You need to continue to evolve system and service platforms to make sure you're keeping up.
31 shares
LPL taps the man who saved Morgan Stanley's bacon to take service to a Schwab RIA-level echelon

James Osborne: I'm not management material.
8 shares
James Osborne makes a waiting list part of his new RIA's business model after 18 months -- with client care and mountain biking in mind

Sallie Krawcheck: We also didn't talk about my biggest asset -- which is me -- and if the market goes down, what are the chances of me keeping my job.
7 shares
At Morningstar, Sallie Krawcheck blasts her own [presumably ex-] financial advisor -- and herself

Alexey Sokolin:  If Stein and Bo Lu of Future Advisor are right, there will not be much left to unbundle.
2 shares
An insider reveals turbo-contents of the In|Vest conference in New York, a summit of VCs, robo-founders and big banks


Get the RIABiz Today
Email Alert »