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With shutdown near, SEC set to halt adviser registration
If the government closes, the SEC will send most of its employees home. Another casualty: adviser registrations, which will be halted.
Schapiro: SEC can’t enforce Dodd-Frank rules without more bucks
GOP budget cuts could end up declawing financial reform, the SEC boss warns
TD to advisers: Just say no to SRO
TD Ameritrade is urging RIAs to tell Congress to stick with SEC oversight of industry -- and is even advisers a sample letter to make it easier for them to weigh in.
SEC to advisers: Pay new fees or face more exams
Agency's much-anticipated report on adviser oversight fails to offer single approach; controversy ahead
House subcommittee chairman sees merits of SROs, fiduciary standard
The new chairman of a House subcommittee with jurisdiction over investment adviser issues is holding his fire on two crucial questions effecting the industry — until he reads upcoming reports addressing the topics.
The GMWB and why it’s so popular
In the world of variable annuities, 2010 may have been the year of the guaranteed-minimum-withdrawal benefit
Taking off the glitz
To make their variable annuities more attractive, insurers revved up living-benefit features last year
Hard to understand
Summary prospectuses for variable annuities are supposed to help consumers make informed decisions about buying these complicated investments
Is Schwab booting custody clients that hire its brokers?
Like other brokerage firms, The Charles Schwab Corp. is known to be self-protective about its discount brokerage customers. And like other firms, it has sued former brokers whom it suspects of violating prohibitions against soliciting clients.
Schwab’s stance on an SRO: Just say no
The Charles Schwab Corp. has come out against the idea of creating a self-regulatory organization for advisers.
TD to RIAs: We’re still on your side
TD Ameritrade Institutional continues to leverage one factor that distinguishes it from its larger competitors for the assets of advisers: its advocacy efforts
Wealth management seen vaulting UBS back into the black
Despite end of secret bank accounts, Swiss banking giant starting to attract more money from rich clients; profit margins still 'fairly poor'
Disclosure at the center of fiduciary tug of war
With the deadline approaching for the SEC to deliver a much-anticipated report about the regulation of financial advisers, the fight over establishing a universal standard of care is heating up
Government panel report is more sizzle than steak
The final report from the Financial Crisis Inquiry Commission is a disappointment
TD exec: User fees likely to fund RIA oversight
'One thing Congress isn't going to do is give the SEC a bunch more money,' says Schweiss
<b>Q&A:</b> Two questions for NASAA president David Massey on adviser regulation
NASAA president David Massey sits down with InvestmentNews reporter Liz Skinner and discusses the potential impact of Finra regulation over investment advisers, and also how state regulators will deploy "more intelligent regulation" as they take on the oversight of all investment advisers under $100 million. (Click here to listen.)
Focus Financial picks up $575M RIA
Linkup aimed at helping Pettinga Financial cope with 'onslaught' of new regulations
SEC must make its study work in the real world
The devil, as the old saying goes, is in the details
Obama must ensure regulatory balance
We applaud President Barack Obama's executive order to restore “balance” to federal regulation and weed out rules that stifle job creation and make the U.S. economy less competitive
SEC should require fiduciary standard
In the name of investor protection, we urge the Securities and Exchange Commission to exercise its rulemaking authority to require brokers to act in their clients' undivided best interests at all times. We are also reiterating our call for the SEC to recommend to Congress that the jurisdiction of the Financial Industry
