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Articles tagged "Tittsworth"


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Goldman Sachs CEO Lloyd Blankfein denied that his firm had an obligation to sell securities they thought would be good investments, or to disclose the company’s short position on such securities.

Regulatory Wire: Goldman Sachs opens door for the fiduciary standard; Senators pile on to the cause

Jail time for those who violate the standard? There's a new tone in Washington, D.C.

April 30, 2010 at 4:30 AM

House and Senate financial reform bills would shift 4,000 RIAs to state oversight, but the SEC still has questions about states' resources.

Regulatory Wire: Two Senators may take on fiduciary fight, but how hard will the Obama administration push for the standard?

Plus, Doubts about state regulators' resources; a possible reprieve for California RIAs; and Schumer's under pressure on SEC funding

April 16, 2010 at 6:28 AM

Barack Obama is painting Republicans and Wall Street executives as allies.

A newly emboldened Obama may yet win on financial services reform

Why some Washingtonians are wrong about the bill's prospects

March 23, 2010 at 3:53 AM

Kristina Fausti: The legislation adds some consumer protections and oversight of the SEC.

Senate proposal pushes most RIAs one step closer to state regulation

Senate and house bills now both seek to wrest 75% of RIAs away from SEC oversight

March 16, 2010 at 5:08 AM

Bernie Madoff did his part to help increase attendance at the Investment Adviser Association’s annual compliance conference

Four hot topics in compliance from the IAA conference

The mutual fund and ETF question gets looked at from a regulatory standpoint

March 1, 2010 at 6:33 AM

Tim Johnson: Proposing a study instead of immediate reform of fiduciary standard

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 at 5:24 AM

Mary Schapiro: When investors receive similar services from similar financial service providers, they should be subject to the same standard of conduct

'Unthinkable' progress was made on creating a new regulatory world for advisors in 2009

Change is in the air but upcoming Senate elections complicate prospects for 2010

December 17, 2009 at 3:23 PM

Edelman: "Organizations suffering from internal disarray are ignored by legislators and regulators."

What's going wrong for RIAs on Capitol Hill?

RIAs brace themselves as Senate committee takes up financial reform

November 11, 2009 at 5:05 AM

David Tittworth: "It's pretty bad."

Worst of both worlds looms for RIAs in Washington

Act would gut the authority of SEC over RIAs while doubling its budget

November 4, 2009 at 11:49 PM

Obama's quest for harmony may create dissonance for RIAs

Eight things necessary to keep RIAs from answering to SIFMA

Multiple strategies needed to counter deficit in numbers

October 15, 2009 at 5:47 AM

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