Articles tagged "Consumer Federation of America"

HeadlinePublish date

How the SEC is poised to hand RIAs the keys to the $1.3 trillion private placement market -- largely at the expense of stockbrokers

Dodd-Frank kicked off a series of events that demanded a more rational way to define the sophistication of investors and who is best able to judge investments that don't have prospectuses

July 20, 2016 — 9:54 PM UTC

Influential fiduciaries endorse bootstrapping advisory-industry SRO

Maria Elena Lagomasino and Harold Evensky among those giving nod to Mississippi law students

April 18, 2011 — 1:39 PM UTC

Signed, sealed, delivered: Fiduciary advocates hope SEC takes their new survey for gospel

In pressure cooker of Washington, D.C., nothing looks certain, especially after Tea Party wins

September 16, 2010 — 2:21 AM UTC

Giant push is on in Washington to create a nation of savers

Banks are taking the lead but companies like Fidelity Investments, Raymond James, and Edward Jones plan to jump aboard

February 22, 2010 — 6:18 AM UTC

Johnson amendment a stalking horse for FINRA oversight of RIAs?

Advisor groups say legislative language lays ground for shift or regulators; others see it is a 'prudent measure'

February 18, 2010 — 5:24 AM UTC
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