David Tittsworth

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  Number of RIAs Drops as AUM Spikes: IAA, NRS

  By Melanie Waddell, AdvisorOne  |  November 5, 2012

  The Dodd-Frank Act "has had a profound effect on the composition of the investment advisory profession," says David Tittsworth of IAA.

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  Principles vs. Rules: The Fiduciary Debate in a Nutshell

  By James J. Green, AdvisorOne  |  October 25, 2012

  At TD Ameritrade conference, CFA's Roper, IAA's Tittsworth and SIFMA's Carroll agree, disagree and look ahead at fiduciary standard, SRO for RIAs.

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  Obama vs. Romney on Regulation: DOL Fiduciary DOA? Yes or No to SRO? Borzi Gets Boot?

  By Melanie Waddell, AdvisorOne  |  October 18, 2012

  While the regulatory and legislative landscapes remain sketchy until after the election, industry officials say there are some sure bets advisors can count on.

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  SEC’s Gallagher Challenges Idea of FINRA as Advisor SRO

  By Melanie Waddell, AdvisorOne  |  October 8, 2012

  “Should FINRA be seeking to branch out into entirely new fields of responsibility, such as regulating investment advisors?” a commissioner asks.

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  Breach of Fiduciary Duty No. 1 Complaint in FINRA Arbitration Cases

  By Melanie Waddell, AdvisorOne  |  September 25, 2012

  Experts including former SEC Chairman Harvey Pitt and Ron Rhoades debated whether brokers should be held to the same fiduciary standard as advisors.

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  SEC Fiduciary Rule Stalled—But for How Long?

  By Melanie Waddell, AdvisorOne  |  September 25, 2012

  A fiduciary rule from the SEC looks to be years away.

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  Fiduciary Rule Could Be Years Away: Industry Experts

  By Melanie Waddell, AdvisorOne  |  August 22, 2012

  Knut Rostad, president of the Institute for the Fiduciary Standard, told AdvisorOne on Wednesday that regulators will most likely "continue to punt" the fiduciary issue.

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  Dodd-Frank: Here to Stay

  By Melanie Waddell, AdvisorOne  |  August 21, 2012

  If Republicans “run the table in this year’s elections, it is certainly possible that some of the more controversial provisions of the Dodd-Frank Act may be revisited,” said David Tittsworth, executive director of the Investment Adviser Association (IAA) in Washington.

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  Remedy to Boost Advisor Exams Out of Reach This Year

  By Melanie Waddell, AdvisorOne  |  August 21, 2012

  Two important issues for the advisory industry will remain unresolved until next year: how to boost investment advisor exams—either through a self-regulatory organization (SRO) or via user fees—as well as a rule to put brokers under a fiduciary mandate.

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  To Thwart SRO, Rep. Waters Introduces User Fee Bill

  By Melanie Waddell, AdvisorOne  |  July 25, 2012

  Maxine Waters, D-Calif., introduced on Wednesday a bill that would allow the SEC to collect user fees from advisors to fund their exams in lieu of an SRO.