Articles tagged "fiduciary standard"
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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
Regulatory Wire: Do Fiduciary advocates now have the Obama faction on their side? Treasury speech offers hope.
Insurers step from behind the curtain with lobbying letters; big names in family office world sign on to the fiduciary fight
June 11, 2010 at 5:12 AM
Regulatory Wire: Is it game-over for the fiduciary standard this year? Advocates say, maybe not
Johnson amendment, calling for study of harmonizing regulations, passes as part of 1,596-page bill
May 21, 2010 at 4:31 AM
Hopes dashed: Collins amendment extends fiduciary standard to BDs, but excludes variable annuity sellers
Amendment under fire from state securities regulators, Consumer Federation
May 14, 2010 at 11:07 PM
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
May 7, 2010 at 6:06 AM
One-Man Think Tank: Inside the legal issues of the Goldman Sachs hearings
Sorting out the culpability of the Wall Street powerhouse requires a close look at the suitability standard
May 5, 2010 at 5:14 AM
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
One-Man Think Tank: When Wall Street has investors' 'best interests' at heart, watch out
As Senate is poised to take up reform, Ron Rhoades contends the movement to create a "new" fiduciary standard is a campaign of disinformation
April 27, 2010 at 6:19 AM
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
What financial advisors can expect from Washington this spring: 8 predictions
Financial reform will move forward, but regulation will move backward
April 5, 2010 at 4:09 AM
FINRA and SIFMA win big for Wall Street with release of Senator Dodd's bill yesterday
The proposal is a 'devastating grant of authority to the SEC to write the rules'
March 16, 2010 at 5:07 AM
Proposal would sweep RIAs, planners, brokers into one huge regulatory pool (Updated)
New board promoting the fiduciary standard would oversee 75,000
March 10, 2010 at 9:46 AM
SEC's Walter looks for an easier way out on fiduciary question
Johnson amendment gains primacy as jockeying continues on the Hill
February 25, 2010 at 10:56 PM
Part One: Investment Advisers: Is our path toward, or away, from a true profession?
An argument for taking the high road
