Registered Investment Advisors
Twitter Has Started Rolling Out The Option To Download All Your Tweets
In a move that could put an end to the growing number Twitter archive apps, Twitter is reportedly beginning to roll out its own app for downloading a history of all your tweets in a compressed file.
Appointment Of Elisse Walter As SEC Chair-Designate Makes FINRA More Likely To Be Named Self-Regulatory Organization Overseeing RIAs
President Barack Obama on Monday did not name Elisse Walter chairman-designate of the SEC becauseshe prefers RIAs be inspected and overseen by a self-regulatory organization.
Regulation of RIAs was probably not at the top of the list of positions considered by President Obama in deciding to appoint Walter as the new SEC chair. It’s safe to say that Walter’s position on regulation of money funds, disclosures by municipal bonds, and the Volcker Rule banning proprietary trading by banks were probably weighed more heavily by the administration.
However, Walter&rs
Another Advisor Claiming To Be A Fiduciary Accused Of Defrauding Investors
Another RIA and its owner that were recently charged by the Securities and Exchange Commission with running a Ponzi scheme made the fiduciary obligation to clients the central focus of its marketing.
Fiduciary Rule For Brokers? Not Dead Yet Say Advisors
Contrary to published reports the fiduciary rule for brokers isn’t dead yet.
Or at least that’s what a handful of advisers who hold themselves out to be fiduciaries are saying, or at least hoping.
“It would be a mistake to interpret a period of quiet or pause in Securities and Exchange (SEC) public action on this issue as if 'it's over,'” says Kathleen M. McBride, AIFA, an accredited investment fiduciary analyst and founder of FiduciaryPath. “Progress has not stopped on the fiduciary standard -- this very crucial standard of care for investors. It may be ta
The Deadline For Filing For State Registration Is Next Week!
The deadline is fast approaching for midsize RIAs who must register with their states to do so. By June 28, approximately 2400 such firms will switch their registrations from the SEC to state regulation. Failure to meet the deadline can have big consequences: the firms’ registration may be revoked.
More Articles ...
- Another Bad Turn In The Tragic Saga Of Matt Hutcheson, Onetime Spokesman For Fiduciaries
- What ERISA Attorney Fred Reish Says Advisors Need To Know About 408(b)(2), Fiduciary Investment Advice, And Retirement Income Projections
- FINRA Seems Determined To Fulfill Its Business Growth Goals Despite Falling Membership Numbers
- Guest Post: Robert Powell On The Spokesman For The Fiduciary Movement Who Is Now Accused Of Diverting Retirement Plan Assets To His Own Personal Accounts
