Articles tagged "SEC"
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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
Debate continues: Fiduciary standard no panacea
Financial Services Institute advocates for study, deliberate look at investor protection
May 6, 2010 at 6:30 AM
The suitability standard, defined
If you've wondered, as we have, exactly what it says, wonder no more
May 5, 2010 at 4:57 AM
The SEC's unannounced compliance exams are growing more common. That means the ‘I’ll-get-to-it’ strategy is an even worse idea than before.
How to test your firm’s readiness
April 28, 2010 at 5:46 AM
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
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
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
One excuse the SEC doesn't listen to: I was just following the crowd
Third-party rankings misleading without the context; here's how to give it
March 22, 2010 at 3:58 AM
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 at 5:08 AM
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
Why the New York Times fiduciary article won't deter the special interests
Consumer-protection regulations rarely get stiffer in the legislative process
March 5, 2010 at 6:26 PM
FINRA guidance may help RIAs avoid social media blunders
Even employees' LinkedIn profiles ought to be supervised
February 26, 2010 at 7:49 AM
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
Part Two: The last advice model standing
Five links on the evolutionary chain toward a profession
February 15, 2010 at 5:55 AM
SEC’s heightened interest in the older set means advisors should pay heed
Questions of diminished capacity, appropriate investing strategy apply
