Past Updates
- April 17, 2009
- Ron Rhoades provides an "Update" on recent events, including SIFMA's Proposed "Universal Standard of Care." Ron also addresses "what happened" on Wall Street and the present opportunity for "Transformational Change." In additon, Ron provides an update on the "Financial Planning Coalition", as well as the development of his new book, Financial Planners: Fiduciary Duties and Compliance.
- January 12, 2009
- Ron provides an "Update" on recent events affecting the future regulation of investment advisers and personal financial advisors. He also provides a suggested Draft Report to Congress and a suggested Draft Legislation. Please note that the "Report to Congress" and "Draft Legislation" are suggested texts only, for consideration by other personal financial advisors and industry associations, and represent Ron's views only and not those of any organization.
- October 12, 2008
- Ron provides a short 8-page update on the past few months' events.
- August 14, 2008
- Ron provides a critique of recent events, and sets off in a slightly different direction.
- April 2008 Update.
- In this document, Ron discusses recent developments affecting the application of fiduciary status upon financial advisory activities. He also discusses the attributes of a true profession, suggests action steps required to achieve professional status, and calls for the formation of a formal coalition to foster state legislation empowering a professional regulatory organization (PRO).