By Lisa Shidler

Unfortunately it is easier for regulators and RIAs to say “no”. A further examination could prove that our “no” are enriching ETF providers and DFA and missing good opportunities provided by other firms. Endowment managers have known this for years.

Another example of the "capture theory" at work as the SEC does the bidding of the asset management industry, a manufacturing and distribution complex.  What the public at-large needs, most particularly 401(k) investors, is impartial advice.   Plan sponsors beware!

Jeff and Jamie, If I were on the Harvard debate team, these are the exact summations of the two sides I'd give. 1.) Good in theory for sure. 2.) Buyer be extra wary. Thanks, Brooke

Waving the flag of 'capital formation,' SEC promises to let the genie out of the bottle, allowing private funds in 401(k) plans; DOL silent

Jason C. Roberts

Lou Harvey

Fred Reish

Marcia Wagner

<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

Right now, SEC limits which advisors can sell alts and who can legally buy them, blocking any realistic chance of putting $4-trillion 401(k) cache in Wall Street crosshairs

Waving the flag of 'capital formation,' SEC promises to let the genie out of the bottle, allowing private funds in 401(k) plans; DOL silent

Jeff Spears

Jamie McLaughlin

brooke southall

RIABiz Directory

White Paper Postings

Special Sections

Common Tags

Recent Articles

Popular Writers

RIABiz

Directory

Archives

Connect

Waving the flag of 'capital formation,' SEC promises to let the genie out of the bottle, allowing private funds in 401(k) plans; DOL silent

Jeff Spears

Jamie McLaughlin

brooke southall

RIABiz Directory

.css-1ry76po{display:inline;font-size:1em;color:#fff;}.css-1ry76po p{display:inline;}.css-1ry76po:hover,.css-1ry76po:focus{color:#c5d9eb;-webkit-text-decoration:underline;text-decoration:underline;}White Paper Postings

.css-1d1ry76{padding-top:12px;padding-bottom:12px;}Special Sections

Common Tags

Recent Articles

Popular Writers

RIABiz

.css-1wxybbc{display:inline;font-size:1rem;color:inherit;}.css-1wxybbc p{display:inline;}.css-1wxybbc:hover,.css-1wxybbc:focus{color:#c5d9eb;-webkit-text-decoration:underline;text-decoration:underline;}Directory

Archives

Connect

White Paper Postings

Special Sections

Directory