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Human Capital: NASAA’s Gerold Outlines COVID-19 Frauds, Enforcement Measures

Release Date: 04/17/2020

LUMINARIES: Leadership Lessons From Mark Tibergien

Human Capital with Melanie Waddell

For today’s conversation, we’re taking a different approach in order to highlight ThinkAdvisor’s new industry recognition program: The LUMINARIES, which is recognizing top advisors, broker-dealers, RIAs, asset managers and other firms, as well as their outstanding programs, products and services. The 2021 finalists of this groundbreaking program will be announced soon online at ThinkAdvisor.com. They’ll also be featured in print in Investment Advisor magazine’s September and November issues. The Luminaries awards shine a spotlight on excellence in four key areas by telling the...

Human Capital: FSI's Bellaire Sounds Off on DOL Withdrawal of Independent Contractor Rule

Human Capital with Melanie Waddell

In this episode of Human Capital we talk with David Bellaire, general counsel for the Financial Services Institute in Washington, about FSI’s lawsuit against the. FSI against the Labor Department for withdrawing its final independent contractor rule and is now actively lobbying Senators about a legislative remedy. “I think that there is a deeply held view in the Biden administration that all workers are benefited by being employees rather than independent contractors -- that the protections provided to them are greater and therefore all workers should be employees of their...

Human Capital: Ed Slott on Why Raising RMD Age Is 'Useless'

Human Capital with Melanie Waddell

In this episode of Human Capital, Ed Slott of Ed Slott & Co. relays important tax advice related to potential changes to the stepped-up basis and estate tax, and also warns that the potential boosting of the required minimum distribution age to 75 is likely “useless,” and that lawmakers may actually be “creating a bigger problem” with such a change. Slott also zeros in on how rollover advice is a central aspect of both the Labor Department’s new fiduciary prohibited transaction exemption as well as the SEC’s Regulation Best Interest, and warns that advisors need to up their...

Human Capital: Susan Schroeder Says Reg BI Enforcement Actions Loom

Human Capital with Melanie Waddell

In this episode of Human Capital we talk with Susan Schroeder, former chief of the Financial Industry Regulatory Authority’s enforcement division, who’s now a partner at WilmerHale and vice chair of its Securities & Financial Services Department. Schroeder sees enforcement actions related to Regulation Best Interest compliance “coming soon” — likely this year. Listen is as Schroeder also weighs in on what Gary Gensler’s likely arrival as SEC chairman means for Reg BI. Schroeder also talks about the likelihood of enforcement actions related to Form CRS and more.

Human Capital: Skip Schweiss on Reshaping FPA's Value Proposition

Human Capital with Melanie Waddell

In this episode of Human Capital, we catch up with Skip Schweiss, the 2021 president of the Financial Planning Association. Schweiss, former president of TD Ameritrade Trust Company and managing director of advisor advocacy for TD Ameritrade Institutional, talks about FPA’s priorities, including boosting FPA’s membership. “…FPA will continue to deliver content that can not only keep a planner’s skills sharp and evolving with the times and with trends but also to provide them that continuing education credit. We just know and acknowledge we aren’t the only game in town...

Human Capital: Ed Slott on Why Taxes Are Heading ‘Through the Roof’

Human Capital with Melanie Waddell

In this episode of Human Capital, we talk with IRA and tax specialist Ed Slott of Ed Slott & Co. about his upcoming book, “,” to be released in March. What’s it about? “The big message is to control the taxes,” Slott says. “We’ve had lots of tax law changes, but every time something happens it seems to effect retirement accounts more than anything else and that’s where most people have most of their savings for retirement – an IRA or 401(k). “The reason those accounts are most affected is the way they were set up.” Listen in as Slott also explains why he...

Human Capital: IAA's Karen Bar on SEC Rules Nearing the Finish Line

Human Capital with Melanie Waddell

In this episode of Human Capital, we talk with Karen Barr, president and CEO of the Investment Adviser Association in Washington, about the growing ranks of RIAs as well as important rule updates that are due to be released by the Securities and Exchange Commission.

Human Capital — ‘Secure 2.0’: Why Now? With Ex-PBGC Director Millard

Human Capital with Melanie Waddell

In this episode of Human Capital, we talk with Charles Millard, the former director of the Pension Benefit Guaranty Corp., who’s now a senior advisor to asset management firm Amundi Pioneer. He discusses why House Ways and Means Committee Chairman Richard Neal, D-Mass., and Kevin Brady, R-Texas, introduced their big bipartisan just a week before the election. “There’s a continuing resolution funding the government that only goes through Dec. 11, so there will be some kind of lame duck session.” Millard addresses the bill’s chances of passage during the lame-duck session...

Human Capital: Michael Kitces on Fiduciary Fight and Why He’s ‘Extremely Nervous’ About Schwab Deal

Human Capital with Melanie Waddell

In this episode of Human Capital, we talk with popular blogger and financial planner Michael Kitces about XY Planning Network’s recent decision to not pursue a Supreme Court challenge to the appeals court ruling that upheld the Securities and Exchange Commission’s Regulation Best Interest. Says Kitces, who’s also co-founder of XYPN, “The judges said outright in the ruling that RIAs would be put at a competitive disadvantage compared to the status quo as a result of Regulation Best Interest.” Now, says Kitces, XY Planning Network will shift its focus to pushing for state fiduciary...

Human Capital: Ron Rhoades Unpacks Reg BI Unknowns

Human Capital with Melanie Waddell

In this episode of Human Capital, we talk with Ron Rhoades, director of the Personal Financial Planning Program and assistant professor of finance in the Gordon Ford College of Business at Western Kentucky University, who was recently awarded the Tamar Frankel Fiduciary prize by the Institute for the Fiduciary Standard. Rhoades unpacks some big questions that he says have yet to be answered concerning the Securities and Exchange Commission’s Regulation Best Interest: “Is it going to improve the standard of conduct for brokers?...There’s a lot that we don’t know about Reg...

More Episodes

In episode No. 13 of Human Capital, we talk with Christopher Gerold, president of NASAA and chief of the New Jersey Bureau of Securities, about the relief put in place by state securities regulators because of the coronavirus pandemic.

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