RIABiz

News, Vision & Voice for the Advisory Community

RIABiz

Articles tagged "Investment Adviser Association"


Headline

Publish date


Chuck Moran, of the CFB Board of Standards board of directors: “We were looking for a more definitive recognition of financial planning."

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

Tea Partiers such as Michele Bachmann may change the enforcement landscape for investment advisors by putting some agencies on starvation budgets.

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

David Tittsworth: I feel alone out there a lot of the time.

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

Summer's last gasp: Advocates for advisors and broker-dealers were putting in long days to prepare comments on the fiduciary standard to send to the SEC's Mary Schapiro and the other commissioners.

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

NASSA can take consolation in what's likely a big win in its column after financial reform -- the shift in oversight of RIAs with up to $100 million in assets from SEC oversight to state regulation.

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

Barack Obama is painting Republicans and Wall Street executives as allies.

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

Sen. Herb Kohl is taking on brokers, life insurers with amendment to regulate financial planners.

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

Kristina Fausti: The legislation adds some consumer protections and oversight of the SEC.

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

Bernie Madoff did his part to help increase attendance at the Investment Adviser Association’s annual compliance conference

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

Tim Johnson: Proposing a study instead of immediate reform of fiduciary standard

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

David Tittworth: "It's pretty bad."

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

Obama's quest for harmony may create dissonance for RIAs

Eight things necessary to keep RIAs from answering to SIFMA

Multiple strategies needed to counter deficit in numbers

October 15, 2009 at 5:47 AM

RIABiz Directory

The Industry Sourcebook for RIAs

   |    LISTING

Add Your Listing

RIABiz Directory sponsored by:

Directory Sponsor Logo

White Paper Postings


Common Tags


Recent Articles


Popular Writers


RIABiz logo

RIABiz

About Us

Directory

Archives

Connect

RIABiz, Mill Valley, California
Copyright © 2009-2024 RIABiz Inc. All rights reserved.