Jun 18, 2010
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
Tag
fiduciary standard
34 articles
Articles tagged "fiduciary standard"
Page 2 of 3Jun 17, 2010
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
Jun 11, 2010
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
May 21, 2010
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 14, 2010
Hopes dashed: Collins amendment extends fiduciary standard to BDs, but excludes variable annuity sellers
Amendment under fire from state securities regulators, Consumer Federation
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
May 5, 2010
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
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 27, 2010
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
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
Apr 5, 2010
What financial advisors can expect from Washington this spring: 8 predictions
Financial reform will move forward, but regulation will move backward
Mar 16, 2010
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'
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
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 15, 2010
Part One: Investment Advisers: Is our path toward, or away, from a true profession?
An argument for taking the high road