May 14, 2010
Regulatory Wire (Updated): To create a successful new regulatory regime, the biggest fears of both broker-dealers and advisors must be assuaged
Plus, a DOL administrator offers hints of new 401(k) regulations to come this fall
SH
Author
Sara Hansard
11 articles
Articles written by Sara Hansard
May 7, 2010
Regulatory Wire: Advisor groups long have pushed for the fiduciary standard; because of the Goldman Sachs case, they may get what they asked for, and more
Senators call for ERISA-level standards of care for retail investors; also, Schapiro puts new ADV part 2 back on the radar
Apr 30, 2010
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.
Apr 9, 2010
Regulatory Wire: Everything an RIA needs to know about the reform agenda in Washington
If major change doesn't occur, it won't be for lack of effort
Mar 10, 2010
Proposal would sweep RIAs, planners, brokers into one huge regulatory pool (Updated)
New board promoting the fiduciary standard would oversee 75,000
Mar 4, 2010
IRA assets could be ripped from the grasp of brokers if DOL has its way
With brokers disqualified, fee-only advisors may have 'phenomenal' opportunity to dominate $4.1 trillion IRA market
Mar 3, 2010
Why the DOL's proposed 401(k) rules could ding brokers and leave the spoils to RIAs
SIFMA cries foul on the basis that such regulations would reduce people's access to retirement plans
Mar 1, 2010
Top RIA lobbyist says insurance foes have been 'more effective' in fiduciary battle but urges patience
Neil Simon: Supporters of a strict fiduciary standard can prevail with an effective end game
Feb 25, 2010
SEC's Walter looks for an easier way out on fiduciary question
Johnson amendment gains primacy as jockeying continues on the Hill
Feb 23, 2010
A different take on too-big-to-fail
Shadow Committee posits that bankruptcy law may be better after all
Feb 22, 2010
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