Ken Fisher Warns, Industry Responds: What Happens to RIAs in 10 Years?
Ken Fisher is bullish on 2014’s market and economy but decidedly bearish on the future of RIAs.
Ken Fisher Is Right About Demise of RIAs...and Wrong
We can only hope that Mr. Fisher’s vision does not occur. Yet I foresee that fee-only and other true fiduciary advisors will still exist.
Is Investor Confusion Really Harmless?
An SEC panel raises the issue of harm caused by investor confusion over the difference between a fiduciary and a suitability standard.
SIFMA Names Former Sen. Gregg as CEO
SIFMA announced Monday that former Sen. Judd Gregg has been appointed CEO and that Ken Bentsen, acting president and CEO, is now president.
Principles vs. Rules: The Fiduciary Debate in a Nutshell
At TD Ameritrade conference, CFA's Roper, IAA's Tittsworth and SIFMA's Carroll agree, disagree and look ahead at fiduciary standard, SRO for RIAs.
Loring Ward Helps Parents Teach Kids About Money
Helping families teach children about finances is a way advisors can take “a more comprehensive, holistic approach to wealth, instead of only focusing on investments,” a Loring Ward executive says.
Key Findings of fi360-AdvisorOne Fiduciary Survey of Advisors
Both brokers and advisors in our second annual AdvisorOne-fi360 Fiduciary Survey agree on much, but the findings suggest a disconnect between registered reps and their leaders.
On 5th Anniversary of FPA’s Win on ‘Merrill Rule,’ Fight Continues
Lawsuit whose victory surprised and delighted many changed the conversation in Washington while industry still awaits shape of a final fiduciary rule.
Allow E-Disclosures, Retirement Plan Coalition Urges DOL
On Tuesday, a coalition of interested parties took to their pens to urge the Department of Labor to allow plan sponsors to make required disclosures electronically.
At Bogle Event, Former SEC Chairmen Agree on Fiduciary Standard—With Caveats
Harvey Pitt, David Ruder, Arthur Levitt say brokers should have a fiduciary standard: SIFMA’s Ryan agrees.