Harvey Pitt’s Solution to SEC’s RIA Exam Shortfall
SEC Chairwoman Mary Jo White says third-party exams are a “creative idea,” but there are “a number of issues.” Ex-Chairman Pitt offers one solution.
IMCA 2014 Key Speakers: Blinder, Silver, Milevsky, Edelman
Attendees at the IMCA conference in Boston will hear insights from Moshe Milevsky, Nate Silver, Ric Edelman and more. Alan Blinder gave the keynote speech.
Ketchum’s Comment on SRO Defeat Isn’t the Final Word, Watchers Say
Advocates from fi360 and IAA say FINRA is merely biding time for a more agreeable Congress before another attempt to gain control over advisor regulation.
White, Borzi and Legislators Focus on Fiduciary
Less than a month apart, the women behind the crafting of fiduciary rulemakings at the Department of Labor and the Securities and Exchange Commission made some definitive comments about their respective proposals.
fi360 Urges SEC to Consider Third-Party Advisor Exams
As user-fees bill and SRO options stall, fiduciary advocate fi360 suggests third-party compliance reviews.
More Advisor Exams? Not Under This SEC Budget, Advocates Say
CFP Board, CFA and others say the SEC's pledge to examine more advisors will be tough to fulfill with only a $29 million increase.
Never-Examined Advisors Top SEC’s 2014 Exam Priorities List
Like FINRA, SEC also plans to scrutinize IRA rollovers this year.
Advisors Brace for More Exams in 2014; DOL ‘Game Changer’ on Horizon
Some industry officials question whether the SEC can deliver on its promise to boost the number of advisor exams in the new year.
You Can Leave Your Hat(s) On: Two Fiduciary Standards?
Creating two fiduciary standards would do nothing to reduce the current state of investor confusion; the real losers would be retail investors.
SEC Tags Fiduciary as 'Long-Term' Action; Advocates Unfazed
The fact that a fiduciary rulemaking is on the SEC’s agenda at all "suggests to me that we are moving closer," says CFA's Barbara Roper.