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FRITZ MEYER’S MONTHLY SLIDES AND TRANSCRIPTS
FRITZ MEYER FORTNIGHTLY VIDEO, SLIDES, AND TRANSCRIPT
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"Too Big To Fail" Firms May Be Forced To Restructure
12th Annual Evolution/Revolution Study Shows Small Firms Continue To Dominate The Industry
A Financially Literate Society Could Be A Boon To Advisors
AARP Joins Fiduciary Debate Alongside CFP Board, Financial Planning Association, And Other Consumer And Professonal Associations To Oppose Broker/Dealers And SIFMA
Advisor's Press Release Exposes How The Split Between FPA And Broker/Dealers Now Plays A Pivotal Role In The Development Of The Profession
Are Brokers Fiduciaries, Even Though They Accept Commissions? Yes, Says Financial Advice Ethics Expert Ron Rhoades
Broker Says Record That Shows Investor Complaints Totaling $1.4 Million Should Be Expunged Out Of Fairness And A California Appeals Court Agrees
Can Google Regulate Financial Advisors?
CFPB Still At The Center Of Congressional Dodd-Frank Bickering
Chicago-Based MBA And Derivatives Consultant Points To Fraud As Cause Of 2008 Crisis
Congress Reveals Priorities For The SEC While Denying Budget Increase Request
Congressional Hearing On Bachus-McCarthy Bill Yields Inconlusive Delay
Consumer Advocates Frustrated At Lack Of Fiduciary Progress
Decisions On Fiduciary Standard And Regulator Of RIAs Delayed Officially
Despite SEC Claims, New Enforcement Activity Has Actually Declined
Do FINRA and SEC Disclosures Drive You Nuts? Here's Your Chance To Let The SEC Know How To Fix It
Dodd-Frank "Too Popular" To Kill Outright, Barney Frank Says
Dodd-Frank Costing $417 Million This Year, According To New GAO Report
Dodd-Frank Doesn't Have To Be Expensive, Compliance Officers Say
Dodd-Frank Legislation To Be Reviewed During Entire Month Of July
DOL Backtracks On Strict Retirement Plan Fiduciary Rule
Elizabeth Warren Can't Catch A Break For The CFPB
Fiduciary Capacity Isn't A Term That Only Applies To You; It May Also Apply To Your Clients
Financial Planning Coalition Calls On New SEC Chair To Focus On Fiduciary, Increase Oversight Of Investment Advisers
Financial Planning Coalition, Taking On Wall Street And The SEC, In A David Versus Goliath Battle On The Fiduciary Standard
FINRA Comes Up Short In Examination By Government Accountability Office
FINRA Puts SRO Priority On Back Burner, Noting Little Momentum In Congress In Support Of The Measure
FINRA Requests Comment On Ways To Increase Investor Use Of BrokerCheck: My Suggestion Is To Consolidate Advisor Licensing Databases And Open It To Search Engines
FINRA Spent More Money Lobbying Congress Last Quarter, But Guess Who Spent Five Times As Much
FINRA's Estimate Of Cost Of Establishing And Maintaining An SRO For RIAs Challenged By Coalition Representing RIAs
FINRA's Rick Ketchum Calls RIA Arguments Against SRO A "Red Herring"
Get Ready For Congressional SRO Hearings In Two Weeks
Give States Oversight And Examination Authority Over RIAs Managing $1 Billion Or Less To Solve The RIA Regulatory Mess
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
How Dodd-Frank Passed In The First Place (And Where It's Gone From There)
Lawyers Tell Advisory Firms To Be Ready To Investigate SEC Whistleblower Claims On Their Own
Mark Spangler Indicted On 23 Counts Of Fraud And Money Laundering; Government Seeks $41.7 Million
Mary Schapiro Still Committed To Universal Fiduciary Standard, Warns On SEC Funding Issues
Massachusetts Calls On SEC To Prohibit RIAs From Using Mandatory Arbitration Clauses, Saying It Is "Troubling," Widespread And Not Consistent With Fiduciary Practice
Murder, Ponzi Schemes, And Lack Of Regulatory Effectiveness Point To Need For Investor Education
NAIFA Backs FINRA Examination Of SEC-Registered Investment Advisers
New House Budget Proposal Trims Dodd-Frank But Leaves Most Of The Reforms Intact
New Survey Says Dodd-Frank Will Help Restore Client Trust
News Analysis: The Real Story Behind The SEC Warning That It Has Found “Widespread” Violations By RIAs Of The Custody Rule
No Progress? 2011 Ends With The Same Regulatory Questions Advisors Were Facing 12 Months Ago
Now That Barney Frank Is Leaving, He Comes Out Against An Advisor SRO
Obama Nominates Securities Lawyer To SEC, But Don't Expect It To Speed Up Decisions On Regulatory Reform Issues Affecting Independent Financial Advisors
Overlooked "Grandfather Clause" In New Qualified Investor Rules Softens The Impact On Performance-Based Fees
Prominent Advisors Come Out In Favor Of Student-Created RIA Regulator
Questions About ByAllAccounts And When Account Aggregation Of 401(k) Assets Triggers Onerous Custody Rules Become Focus Of Webinar About 2014 SEC Examination Priorities For RIAs
Ranking House Financial Services Committee Member Frank Introduces Legislation To Merge SEC And CFTC
Researching The Advisor Tied To The Soccer Mom Who Allegedly Ran A Prostitution Ring Shows Why FINRA BrokerCheck Stinks And Why SEC And FINRA Are Not Trusted
RIA Groups Release Study Saying FINRA Oversight Would Cost Twice As Much As Enhancing The SEC's Exam Program Of RIAs
RIAs Can't Be Consumer Advocates If They Disregard SEC Advertising Rules By Using Social Media Apps Without Archiving Their Posts
RIAs Don’t Seem To Care Very Much About The Regulatory Debate; Reaction To Last Week’s FINRA-SRO News Was Muted
SEC Chief, Testifying Before Senate, Says Dodd-Frank Replaced 2,250 RIAs And $115 Billion AUM With 1,500 New RIAs Managing $3 Trillion
SEC Forms New Committee In Line With Dodd-Frank
SEC Gropes Toward A Cost/Benefit Analysis Of Advisor Reform
SEC Proposes Deeper Scrutiny Of Broker-Dealers
SEC's New Investor Advisor Committee Focuses On Investor Needs Rather Than Fiducairy Status Of Intermediaries
Shoot The Fiduciary Messenger? Or Use The Debate To Spark Propitious Thinking...
Sizing Up The Powerful Forces Aligned To Fight Making FINRA The SRO For RIAs
SRO Fight Heats Up And May Be Turning As The Threat Of Job Losses Catches Congress's Ears
Staffing Details Of Mary Schapiro's $245 Million SEC Budget Increase Request May Be Unintentionally Revealing
Summarizing The Current Position Of Stakeholders In Decision On Naming FINRA To Oversee RIAs
Switch To State Regulation May Be The Closest Thing To An Audit Some RIAs Have Ever Experienced
The Deadline For Filing For State Registration Is Next Week!
The SEC Has So Much On Its Plate That Advisory Regulation, Fiduciary Rules Are Rolling Off
Underscoring Why The Financial Planning Coalition Is Headed In the Wrong Direction, 1,100 Advisors Attended AICPA’s Financial Planning Conference
Wells Fargo Advisor Who Bilked At Least A Dozen Clients Makes Front-Page News In Today’s New York Times
Why A Uniform Fiduciary Standard Isn't The Answer
With So Little Action On Dodd-Frank Over The Past Two Years, Many Are Dubbing It Dud-Frank
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