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Thoughts on Regulatory and Other Reforms in 2020 and Beyond
by Ron A. Rhoades, 9/29/20

The following remarks were delivered by Ron Rhoades upon receiving the Frankel Fiduciary Prize from the Institute for the Fiduciary Standard on September 29, 2020.

How SIFMA, FSI , FINRA and the SEC Conspired to Doom the Advisory Profession
by Ron A. Rhoades, 3/18/19

Through “harmonization” – the broker-dealer community, aided and abetted by the SEC, is destroying the fiduciary standard, while imposing only new “casual disclosure” obligations upon broker-dealers. At its very core, this is an effort to make RIAs/IARs and BDs/RRs look identical. Once this is accomplished, FINRA will swoop in to seek oversight over the “harmonized” broker and investment adviser communities.

B.I.C.E.: Financial Advisors Beware
by Ron A. Rhoades, JD, CFP®, 1/9/17

I question why any financial advisor would want to use B.I.C.E., given the likelihood of significant reputational damage that would result for the advisor.

Why I'm Concerned about Stock Market Valuation Levels
by Ron A. Rhoades, J.D., CFP®, 12/16/14
Looking at a range of valuation metrics, long-term investors have good reason to worry about the U.S. equity market. They can take comfort, however, in the fact that certain asset sub-classes are less overvalued that others.

I am a Fiduciary Financial Advisor
by Ron A. Rhoades, J.D., CFP, 11/3/09
The fiduciary standard of conduct is necessary to properly align investors' interests with those of the advisors who serve them, says Ron Rhoades in this guest contribution. Moreover, the fiduciary standard of conduct is not onerous and should not be feared. Advisors who embrace a fiduciary standard of conduct must simply follow the guidelines he sets forth.
5 results found.