TD Ameritrade Institutional Fiduciary Leadership Summit Boasts Powerhouse Speaker Lineup
TD Ameritrade Institutional Fiduciary Leadership Summit Boasts Powerhouse Speaker Lineup
Financial Advice Industry Leaders Tackle Investor Protections and the Impact of a Uniform Fiduciary Standard of Care on Retail Investors, Brokers and Investment Advisors
JERSEY CITY, N.J.--(BUSINESS WIRE)-- TD Ameritrade Institutional1 brings industry influencers, independent registered investment advisors (RIAs) and retail investor advocates together for a Fiduciary Leadership Summit to be held June 13, 2013 at the Ritz Carlton, Palm Beach, Fla. The Summit aims to elevate the discussion around improving retail investor protections and increase clarity regarding regulations poised to impact the RIA industry and retail investors.
"The RIA industry is at a pivotal point in time as regulators consider new and enhanced rules which could impact the way RIAs serve their clients and run their businesses," said Skip Schweiss, managing director of advisor advocacy and industry affairs, TD Ameritrade Institutional. "The Summit will serve as a platform for varying viewpoints on a potential uniform fiduciary standard of care for broker-dealers and investment advisors when providing personalized investment advice about securities to retail customers and help guide policymakers toward the best possible outcomes for RIAs and their clients."
Fiduciary Leadership Summit Speaker Lineup
Panels:
Retail Investor Insights Panel: How do Consumers View Financial Advice Standards?
Financial Advice Industry View of the Fiduciary Standard
Regulators' View of the Fiduciary Standard
Speakers:
Tom Nally, president, TD Ameritrade Institutional
Skip Schweiss, managing director of advisor advocacy and industry affairs, TD Ameritrade Institutional
Don Trone, CEO, chief ethos officer, 3ethos
Arthur Laby, securities law professor, Rutgers University
Steve Stone, partner, Morgan Lewis Law Firm
Kevin Carroll, managing director and associate general counsel, Securities Industry and Financial Markets Association (SIFMA)
David Tittsworth, executive director, Investment Adviser Association (IAA)
Bob Colby, chief legal officer, Financial Industry Regulatory Authority (FINRA)
Joey Brady, general counsel, North American Securities Administrators Association (NASAA)
The Consumer Federation of America, National Association of Personal Financial Advisors (NAPFA), Institute for the Fiduciary Standard, Financial Planning Association (FPA), AmericanAssociation of Independent Investors (AAII) and the Certified Financial Planner Board of Standards are just a few of the industry groups that will also be represented.
Advisors are encouraged to get informed and get involved. The Securities and Exchange Commission (SEC) is currently requesting data, information, and comments about the benefits and costs of the various approaches to standards of conduct for investment advisors and broker-dealers. The responses the SEC receives will be critical to its analysis and outcome of this issue. Advisors can educate themselves about the application of a uniform fiduciary standard and potential impact on retail investors and RIAs by reading TD Ameritrade Institutional's whitepaper, Uniform Fiduciary Standard: Impact on Consumers, Brokers, and Investment Advisors. Advisors can provide input by visiting the dedicated page on the SEC's website. The comment period will remain open until July 5.
Additional Information
While the Fiduciary Leadership Summit is an invitation-only event, advisors can get more information on these topics, including updates on industry affairs and news impacting RIAs and investors, by visiting www.TDA4Advisors.com, following us on Twitter @TDA4Advisors, and connecting on LinkedIn. For more information about TD Ameritrade Institutional, please visit www.tdainstitutional.com.
TD Ameritrade is separate from and not affiliated with third party presenters and organizations, and is not responsible for their services, policies, content, and commentary.
About TD Ameritrade Institutional
TD Ameritrade Institutional1 is a leading provider of comprehensive brokerage and custody services to more than 4,500 fee-based, independent registered investment advisors and their clients. Our advanced technology platform, coupled with personal support from our dedicated service teams, allows investment advisors to run their practices more efficiently and effectively while optimizing time with clients.
About TD Ameritrade Holding Corporation
Millions of investors and independent registered investment advisors (RIAs) have turned to TD Ameritrade's (NYS: AMTD) technology, people and education to help make investing and trading easier to understand and do. Online or over the phone. In a branch or with an independent RIA. First-timer or sophisticated trader. Our clients want to take control, and we help them decide how - bringing Wall Street to Main Street for more than 36 years. An official sponsor of the 2016 U.S. Olympic Team, TD Ameritrade has time and again been recognized as a leader in investment services. Please visit TD Ameritrade's newsroom or www.amtd.com for more information.
Brokerage services provided by TD Ameritrade, Inc., member FINRA (www.FINRA.org) /SIPC (www.SIPC.org) /NFA (www.nfa.futures.org)
1TD Ameritrade Institutional is a division of TD Ameritrade, Inc., a brokerage subsidiary of TD Ameritrade Holding Corporation.
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TD Ameritrade Holding Corporation
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