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Articles tagged "Investment Advisers Association"

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House and Senate financial reform bills would shift 4,000 RIAs to state oversight, but the SEC still has questions about states' resources.

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

Kristina Fausti is watching for whether fiduciary standard will apply only to personalized investment advice provided to retail investors

SEC one step closer to losing oversight of most RIAs

But will budget-crunched states do a better job?

October 28, 2009 at 4:26 AM

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