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|