May 14, 2010
Regulatory Wire (Updated): To create a successful new regulatory regime, the biggest fears of both broker-dealers and advisors must be assuaged
Plus, a DOL administrator offers hints of new 401(k) regulations to come this fall
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Regulatory Wire
4 articles
Articles tagged "Regulatory Wire"
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
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 9, 2010
Regulatory Wire: Everything an RIA needs to know about the reform agenda in Washington
If major change doesn't occur, it won't be for lack of effort
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