Elizabeth MacBride

Deadline for state registration may have shifted; SEC's Robert Plaze offers clarity

NASSA's David Massey: “(The letter) was helpful news, which is unusual."

NASSA

the switch

David Massey

Robert Plaze

Todd Schwartz

<p>The past two years have been some of the most momentous in the relatively short history of the RIA profession. Legislators and regulators have been gradually embracing the fiduciary standard, though whether it will fully apply to everyone calling themselves advisors remains to be seen.</p>

<p>The Department of Labor’s crusade to lower costs and increase transparency in retirement plans means a spate of new regulations affecting advisors and brokers in that market. Dodd-Frank Financial Reform, meanwhile, continues to unroll across the profession, with the biggest change being a shift to state oversight of RIAs with less than $100 million AUM. In this section, you’ll find continually updated RIABiz.com coverage on all these topics.</p>

RIA Compliance

It's nice, but it's not a rule, say compliance experts, regulators frustrated by amorphous situation

Deadline for state registration may have shifted; SEC's Robert Plaze offers clarity

Related Moves

November 18, 2022 at 2:56 AM

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