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Articles written by By Sara Hansard


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Goldman Sachs' Lloyd Blankfein has said the investment bank is not a fiduciary. What is at issue, then, is what the suitability standard really is.

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.

April 23, 2010 – 6:01 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 – 6:28 AM

Sen. Herb Kohl is taking on brokers, life insurers with amendment to regulate financial planners.

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

March 19, 2010 – 7:32 PM

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