Articles tagged "Tittsworth"

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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 — 4:30 AM UTC

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 — 6:28 AM UTC

A newly emboldened Obama may yet win on financial services reform

Why some Washingtonians are wrong about the bill's prospects

March 23, 2010 — 3:53 AM UTC

Senate proposal pushes most RIAs one step closer to state regulation

Senate and house bills now both seek to wrest 75% of RIAs away from SEC oversight

March 16, 2010 — 5:08 AM UTC

Four hot topics in compliance from the IAA conference

The mutual fund and ETF question gets looked at from a regulatory standpoint

March 1, 2010 — 6:33 AM UTC

Johnson amendment a stalking horse for FINRA oversight of RIAs?

Advisor groups say legislative language lays ground for shift or regulators; others see it is a 'prudent measure'

February 18, 2010 — 5:24 AM UTC

'Unthinkable' progress was made on creating a new regulatory world for advisors in 2009

Change is in the air but upcoming Senate elections complicate prospects for 2010

December 17, 2009 — 3:23 PM UTC

What's going wrong for RIAs on Capitol Hill?

RIAs brace themselves as Senate committee takes up financial reform

November 11, 2009 — 5:05 AM UTC

Worst of both worlds looms for RIAs in Washington

Act would gut the authority of SEC over RIAs while doubling its budget

November 4, 2009 — 11:49 PM UTC

Eight things necessary to keep RIAs from answering to SIFMA

Multiple strategies needed to counter deficit in numbers

October 15, 2009 — 5:47 AM UTC
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