Displaying 159 results
To fee or not to fee? Power seen shifting to RIAs
Execs at wirehouses may say their businesses are not threatened by RIAs, but assets managed by independent, fee-based advisers are surging
Schwab targets smaller RIAs to help expand branch network
Charles Schwab aims to attract smaller RIAs by expanding its retail network
Fidelity rolls out iPhone app for WealthCentral
Mobile application sure to attract attention from users of Apple's ubiquitous smartphone
With shutdown near, SEC set to halt adviser registration
If the government closes, the SEC will send most of its employees home. Another casualty: adviser registrations, which will be halted.
TD to advisers: Just say no to SRO
TD Ameritrade is urging RIAs to tell Congress to stick with SEC oversight of industry -- and is even advisers a sample letter to make it easier for them to weigh in.
Schwab’s stance on an SRO: Just say no
The Charles Schwab Corp. has come out against the idea of creating a self-regulatory organization for advisers.
A different approach to high-tech planning
Providing scalable high-tech, high-touch financial advice to the mass affluent has been a goal of adviser entrepreneurs since the days of MS-DOS. While the technology and knowledge certainly exist to make it happen, doing so successfully and profitably thus far has been elusive.
TD to RIAs: We’re still on your side
TD Ameritrade Institutional continues to leverage one factor that distinguishes it from its larger competitors for the assets of advisers: its advocacy efforts
Battle lines drawn after SEC backs fiduciary standard
Late Friday night, the SEC released it's report on the fiduciary standard. In it, the commission backed adoption of a single standard of care for both broker-dealers and advisers. Now, industry groups are taking dead aim at the proposal. (What's the IN stance?)
‘Room for mischief’ in SEC fiduciary report
Wiggle room means single standard of care not a sure thing
TD exec: User fees likely to fund RIA oversight
'One thing Congress isn't going to do is give the SEC a bunch more money,' says Schweiss
Adviser SRO critics brace for release of SEC study
Worried commission will recommend establishing special regulatory organization for financial planners;
Fiduciary fallout: The road to ‘broviser’
Would harmonization would mean more work for advisers?
SEC offers 3 options for RIA oversight
In the Dodd-Frank financial reform law, Congress asked the Securities and Exchange Commission to assess how it could strengthen regulation of financial advisers
Focus Financial picks up $575M RIA
Linkup aimed at helping Pettinga Financial cope with 'onslaught' of new regulations
RIAs rebounding, but regulatory uncertainty looms large
Most registered investment advisers had a solid 2010 — expanding their businesses, adding clients and even bumping up…
Finra’s Ketchum: Fiduciary standard ‘very likely’
The Financial Industry Regulatory Authority's top executive said federal regulators are “very likely” to force U.S. brokers to meet stricter requirements for acting in the best interests of their clients.
SEC must make its study work in the real world
The devil, as the old saying goes, is in the details
Budget ax could gut Dodd-Frank
Return to 2008 spending levels likely to hamstring SEC's — and others agencies' — ability to conduct studies, write new regs
