Articles tagged "Tittsworth"
Headline
Publish date
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
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
A newly emboldened Obama may yet win on financial services reform
Why some Washingtonians are wrong about the bill's prospects
March 23, 2010 at 3:53 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
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 at 6:33 AM
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 at 5:24 AM
'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 at 3:23 PM
What's going wrong for RIAs on Capitol Hill?
RIAs brace themselves as Senate committee takes up financial reform
November 11, 2009 at 5:05 AM
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 at 11:49 PM
Eight things necessary to keep RIAs from answering to SIFMA
Multiple strategies needed to counter deficit in numbers
