Articles tagged "Investment Adviser Association"
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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
January 19, 2011 at 3:51 PM
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)
January 7, 2011 at 1:49 PM
Testy words pass between advisors and regulatory panelists at MarketCounsel conference
RIAs are shocked by how bad things have gotten in Washington
November 19, 2010 at 7:30 AM
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
August 31, 2010 at 5:31 AM
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
May 28, 2010 at 4:37 AM
A newly emboldened Obama may yet win on financial services reform
Why some Washingtonians are wrong about the bill's prospects
March 23, 2010 at 3:53 AM
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
March 19, 2010 at 7:32 PM
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
March 16, 2010 at 5:08 AM
Four hot topics in compliance from the IAA conference
The mutual fund and ETF question gets looked at from a regulatory standpoint
March 1, 2010 at 6:33 AM
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'
February 18, 2010 at 5:24 AM
Worst of both worlds looms for RIAs in Washington
Act would gut the authority of SEC over RIAs while doubling its budget
November 4, 2009 at 11:49 PM
Eight things necessary to keep RIAs from answering to SIFMA
Multiple strategies needed to counter deficit in numbers
