Registered Investment Advisors
SEC Cracks Down On San Diego Fee-Only Planner For Alleged Kickbacks
Another prominent fiduciary is in trouble, this time for what the SEC calls a combination of secret commissions and outright "lying" about the liquidity of various investments.
Noted Fiduciary Advocate Now Under Investigation After Bounced Checks, Client Complaints
The Labor Department has opened an investigation on Matthew Hucheson, a retirement plan consultant previously known in Washington as a vocal and articulate advocate of the fiduciary code.
Business Professor Urges Third-Party Audits Instead Of An SRO For Advisors
A Georgetown University professor is arguing that setting up a self-regulatory organization for advisors would be difficult and expensive, so advisors should simply find accountants to audit their records.
State Regulators Tell Advisors What They Want To See From Examined Firms
As the deadline for mid-size RIA firms to move from SEC supervision to the states approaches, state regulators have put together a list of common mistakes they see.
States Balking At Losing Control Of Smaller RIAs, But Rep. Bachus Is Already Thinking About That
State securities regulators are publicly worried that efforts to push RIAs into a self-regulatory organization would render their own activities irrelevant.
