By Harald Malmgren and Mark Stys, Guest Columnists

(An updated article) How leery RIAs should be of a flash crash and how much the SEC's new report advances our understanding

Mark Stys: The SEC report is a first step. But there have been no actions yet taken that would alleviate the problems encountered on May 6th; the only action has been the institution of circuit breakers on large price drops.

Bluemont Capital Advisors

Mark Stys

Harald Malmgren

<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

Circuit breakers are a band-aid for a problem in search of a liquidity solution

(An updated article) How leery RIAs should be of a flash crash and how much the SEC's new report advances our understanding

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(An updated article) How leery RIAs should be of a flash crash and how much the SEC's new report advances our understanding

RIABiz Directory

RIABiz Job Board

Basic Job Listing

$250 / 30 days

For More Info Contact:

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