Apr 23, 2010
Regulatory Wire: How Goldman Sachs' fraud case will redirect the regulatory debate
Two Senators to offer amendment; plus, how many arbitration cases are filed because of breach of fiduciary duty? It's a lot.
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By Sara Hansard
3 articles
Articles written by By Sara Hansard
Apr 16, 2010
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
Mar 19, 2010
Revised amendment aims to heal breaches in advisor community
New oversight for financial planners may be tougher for Senators to vote against because it is seen as pro-consumer