2014 IAA Lobbying Day

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TD Ameritrade Institutional

Advisers see increased SEC regulation as the lesser evil

July 09, 2014 | Runtime: 3:24

When it comes to fiduciary legislation, it’s all about progress. Advisers who joined experts from TD Ameritrade, the IAA and other advocates at Lobbying Day were encouraged by progress made in the past year and hope for further strides ahead.

Outlook for fiduciary standard rules? Dubious

June 13, 2014 | Runtime: 3:15

The creation of fiduciary standard rules remains uncertain, and that is “unsettling” for some. Who should oversee advisers and how often they should be examined remain hot-button questions, but when these questions will be answered remains unclear.

Investment adviser regulation remains in flux

June 13, 2014 | Runtime: 1:51

RIAs don’t want to be regulated like broker-dealers and they “sure as hell” don’t want to be regulated by Finra, according to Neil Simon of the IAA. Advisers have fended off several unpopular rules, but advocates say RIAs must remain vigilant.

Are advisers willing to pay for increased regulation?

June 13, 2014 | Runtime: 1:58

Adviser regulation requires “less trivia, and more focus,” according to Skip Schweiss of TD Ameritrade Institutional. What does this mean for advisers, and why is it critical to get “elbow to elbow” with lawmakers creating these groundbreaking rules.

Schweiss: Adviser exams must be improved

June 13, 2014 | Runtime: 2:06

How can advisory firms be examined more frequently without creating a burden on them? At the Investment Advisor Association’s annual lobbying day in Washington, Skip Schweiss of TD Ameritrade Institutional says there are really only two options.

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