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Articles tagged "fiduciary standard"


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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

Committee Chairman Barney Frank (D-Mass) sees SEC rule-making authority, but after a certain “preparatory” time.

As House and Senate talk compromise, Barney Frank hints at a win for fiduciary advocates

In Washington end game, the fiduciary standard hangs in the balance between Barney Frank and Tim Johnson

June 17, 2010 at 4:45 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

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

Susan Collins put Goldman Sachs execs through tough questioning, then introduced an amendment on the fiduciary standard.

Hopes dashed: Collins amendment extends fiduciary standard to BDs, but excludes variable annuity sellers

Amendment under fire from state securities regulators, Consumer Federation

May 14, 2010 at 11:07 PM

Arlen Specter: I have long believed that it is insufficient to have fines for fraud. For corporate fraud, you have a fine and it is calculated as part of doing business.

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

May 7, 2010 at 6:06 AM

Ron Rhoades: Settlement of the case between Goldman Sachs and the SEC is highly likely within the next several months.

One-Man Think Tank: Inside the legal issues of the Goldman Sachs hearings

Sorting out the culpability of the Wall Street powerhouse requires a close look at the suitability standard

May 5, 2010 at 5:14 AM

Goldman Sachs CEO Lloyd Blankfein denied that his firm had an obligation to sell securities they thought would be good investments, or to disclose the company’s short position on such securities.

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 at 4:30 AM

Ron Rhoades: When will Congress stand up to Wall Street?

One-Man Think Tank: When Wall Street has investors' 'best interests' at heart, watch out

As Senate is poised to take up reform, Ron Rhoades contends the movement to create a "new" fiduciary standard is a campaign of disinformation

April 27, 2010 at 6:19 AM

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

Ron Rhoades: The more you make brokers and advisers look the same, the more likely it is that FINRA will end up regulating them all.

What financial advisors can expect from Washington this spring: 8 predictions

Financial reform will move forward, but regulation will move backward

April 5, 2010 at 4:09 AM

Ron Rhoades: The large broker-dealer firms should be partying tonight

FINRA and SIFMA win big for Wall Street with release of Senator Dodd's bill yesterday

The proposal is a 'devastating grant of authority to the SEC to write the rules'

March 16, 2010 at 5:07 AM

Sen. Herb Kohl favors disclosure by planners of conflicts of interest and compensation.

Proposal would sweep RIAs, planners, brokers into one huge regulatory pool (Updated)

New board promoting the fiduciary standard would oversee 75,000

March 10, 2010 at 9:46 AM

Elisse Walter: We’ve been making it too hard on ourselves.

SEC's Walter looks for an easier way out on fiduciary question

Johnson amendment gains primacy as jockeying continues on the Hill

February 25, 2010 at 10:56 PM

Ron Rhoades: If investment advice becomes a profession, demand will soar.
February 15, 2010 at 5:57 AM

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