Articles tagged "Skip Schweiss"
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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?
March 1, 2013 at 7:05 AM
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
November 26, 2012 at 9:33 PM
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
September 5, 2012 at 3:46 PM
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
August 2, 2012 at 3:59 PM
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
August 1, 2012 at 6:10 AM
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
July 12, 2012 at 3:35 PM
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
June 20, 2012 at 5:44 AM
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
June 15, 2012 at 2:45 AM
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'
June 6, 2012 at 5:24 AM
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
June 1, 2012 at 4:13 AM
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
March 10, 2011 at 5:37 AM
The RIA consensus heading into 2011: hire more and invest in more infrastructure
TD Ameritrade survey shows advisors have big concerns over regulatory changes
December 21, 2010 at 2:22 PM
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
December 20, 2010 at 2:22 PM
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
November 23, 2010 at 5:39 AM
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
