Advisor Business

Research Roundup: What The Rise Of The $1.7 Trillion RIA Channel Means

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by ScottMartin     March 06, 2011      0.0 (0) Although the trade press is picking up on an obscure Bloomberg story about the rise of the fee-based advisory business, the original is so rich with implications for the industry that it needs to be dissected more thoroughly.

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Senator Durbin Leads Fight In Congress To Restore SEC Budget Request

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by ScottMartin     March 03, 2011      0.0 (0) Senator Dick Durbin of Illinois has emerged as a key defender of SEC funding after the House of Representatives voted to cut $231 million from the commission's appropriations request.

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SEC Divided On Incentive-Based Pay Disclosure; Schapiro Fears Unintended Consequences

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by ScottMartin     March 03, 2011      0.0 (0) After the SEC's five commissioners delivered a narrowly positive decision to require financial firms to submit their incentive-based compensation plans for approval, Mary Schapiro worries that the new rule could have unintended consequences.

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