jeffnash

About Jeff Nash

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So far Jeff Nash has created 85 blog entries.

“Regulatory Arbitrage”

2017-12-13T17:18:09-05:00

The President of Fidelity's National Financial is quoted as saying there is a regulatory arbitrage for advisors that are going RIA.  Does anyone not think that Dodd/Frank may impact RIA compliance requirements in the future? Here is the Article: https://www.financial-planning.com/news/can-ibds-hang-on-to-independent-advisors

“Regulatory Arbitrage”2017-12-13T17:18:09-05:00

SEC audits 10% of RIAs

2017-12-13T17:18:09-05:00

Interesting article in Investment News:  The SEC is becoming more vocal that they will need to start assessing fees to RIAs in order to keep up with audit requirements.  Anyone thinking about becoming an RIA should understand what the implications might mean to them.  http://www.investmentnews.com/article/20150104/REG/301049999/the-ria-exam-equation  

SEC audits 10% of RIAs2017-12-13T17:18:09-05:00
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