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Articles written by Brian O'Connell


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Tom Harkin: “No-one has lost their money – period,”
June 25, 2010 at 3:27 AM

If only the conference commitee room were this peaceful.

Regulatory Wire: former SEC chairs slam financial services reform

Plus, DOL's new webinar on 401(k) compliance; the SEC speaks on target date funds; and questions about Stoneridge

June 18, 2010 at 5:17 AM

In a lobbying letter, Maria Elena Lagomasino wrote, "All families should be able to access the same high fiduciary standard of investment and financial advice that wealthy families can access. Why should smaller investors be left behind?"

Regulatory Wire: Do Fiduciary advocates now have the Obama faction on their side? Treasury speech offers hope.

Insurers step from behind the curtain with lobbying letters; big names in family office world sign on to the fiduciary fight

June 11, 2010 at 5:12 AM

The SEC says fraud costs $40 billion a year

Regulatory Wire: CREW report criticizes the SEC and blasts its chairman, Mary L. Schapiro, for being slow to fight fraud

Measures against the Bernie Madoffs, Kenneth Starrs called insufficient; accountants on extensible business reporting language; and a strong letter from NASSA

June 4, 2010 at 5:02 AM

NASSA can take consolation in what's likely a big win in its column after financial reform -- the shift in oversight of RIAs with up to $100 million in assets from SEC oversight to state regulation.

Regulatory Wire: Advocates for investment advisors disagree over priorities in the reform debate

Plus: a Washington outsider's view of reform; and FINRA's Ketchum on new fraud focus

May 28, 2010 at 4:37 AM

Looking ahead to next week: a powerful new committee will have its first meeting

Regulatory Wire: Is it game-over for the fiduciary standard this year? Advocates say, maybe not

Johnson amendment, calling for study of harmonizing regulations, passes as part of 1,596-page bill

May 21, 2010 at 4:31 AM

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