Articles tagged "Christopher Dodd"
How Barney Frank and Chris Dodd surprised me after I got them aside for one-on-one chats
The namesakes for Dodd-Frank invest personally through Morgan Stanley and Merrill Lynch and seem to be oblivious about why that may not be in their best interests -- though I tried to explain it to Barney Frank
December 17, 2013 at 7:27 PM
In a major 'get' MarketCounsel books Dodd and Frank to play Vegas
How Brian Hamburger booked the Martin and Lewis of financial legislators to his -- formerly -- bare-bones conference
April 3, 2013 at 5:32 PM
Regulatory Wire: former SEC chairs slam financial services reform
Plus, DOL's new webinar on 401(k) compliance; the SEC speaks on target date funds; and questions about Stoneridge
June 18, 2010 at 5:17 AM
As House and Senate talk compromise, Barney Frank hints at a win for fiduciary advocates
In Washington end game, the fiduciary standard hangs in the balance between Barney Frank and Tim Johnson
June 17, 2010 at 4:45 AM
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'