Ira Hammerman

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  FINRA’s Proposed Broker Recruitment Bonus Rule Makes Strange Bedfellows

  By Bob Clark, AdvisorOne  |  March 6, 2013

  SIFMA and NAIFA’s comment letters on FINRA’s proposed rule on disclosing bonuses paid to brokers to switch BDs agree with me. Now I’m worried.

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  FINRA’s Broker Bonus Rule Seen as ‘Done Deal’ With SIFMA OK

  By Melanie Waddell, AdvisorOne  |  March 6, 2013

  Securities lawyer Patrick Burns told AdvisorOne that with SIFMA's support, the “proposal’s chances of becoming a new rule seem to be a done deal.”

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  Kicking SEC’s Fiduciary Efforts Back Into Gear

  By Melanie Waddell, AdvisorOne  |  September 5, 2012

  Barbara Roper of the CFA and others discussed ways to get the SEC to move forward on proposing a fiduciary rule on a conference call Wednesday.

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  Why Schapiro’s ‘Business-Model Neutral’ Fiduciary Approach Shouldn’t Be News

  By Knut A. Rostad  |  December 12, 2011

  Despite the ruckus over SEC Chairman Schapiro's comments on a 'business-model neutral' fiduciary standard, it shouldn't be a big deal if SEC rule-making remains true to Dodd-Frank and the plain meaning of its plain language.

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  As Academic Research Shows, Disclosure Fails to Protect Investors From Advisors’ Conflicts

  By Knut A. Rostad  |  September 22, 2011

  Just listen to Yale Management Professor Daylian Cain's sobering view: “Conflicts of interest are a cancer on objectivity. Even well-meaning advisors often cannot overcome a conflict and give objective advice."

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  SIFMA Supports SEC’s Fiduciary Standard, but Concern Lingers

  By Marlene Y. Satter, AdvisorOne  |  January 24, 2011

  In the wake of Friday night’s announcement by the SEC that it would require a uniform fiduciary standard for both broker-dealers and advisors, SIFMA said that it supported such a standard, with caveats.