Articles tagged "IAA"
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How financial reform gives the SEC new bite; plus at least five other things advisors ought to know about the legislation
The new financial world will be constructed mostly out of the public eye, as regulators begin studying 150 issues Congress punted to agencies
July 26, 2010 at 3:36 AM
What went right: the story of the fiduciary standard this year
A long-odds fight by advocates and a well-timed Goldman Sachs stumble and -- voilà -- brokers may have to begin putting customers' interests first
June 28, 2010 at 7:29 AM
Improbable win for fiduciary standard: Congress set to hand SEC power to impose fiduciary duty on broker-dealers
Conference committee agrees on a measure that calls for six-month study and then gives SEC authority to write single set of rules for advisors and brokers
June 25, 2010 at 3:36 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: 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
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
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
