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Registered Rep.
March 2, 2010
Kristen French |
Senate Nears Deal, Consumer Protection At The Fed Circulated Monday by Chris Dodd, Senate banking committee chairman, the latest proposal would house a semi-autonomous consumer protection agency inside of the Federal Reserve, according a story in the Financial Times.   |
Registered Rep.
February 17, 2010
Kristen French |
Uniform Fiduciary Standard Still A Question Mark The fiduciary issue is not one of the major sticking points in wrangling over legislation; the big issues are banking regulations, systemic risk, credit rating agency reform, derivatives, executive compensation, and the Consumer Protection Agency. |
Registered Rep.
March 11, 2010
Kristen French |
Dodd to Introduce Financial Regulatory Overhaul Bill Monday, without Republican Support He's still hopeful that negotiations with Republican Senators will prove successful. |
BusinessWeek
January 6, 2010
Robert Schmidt |
Senator Dodd's Exit Could Facilitate a Financial Reform Deal Why Chris Dodd's decision to leave the Senate may give him more leverage to craft a financial reform package. |
Investment Advisor
April 2010
Melanie Waddell |
Washington Watch: The Shape of Reform Begins to Sharpen Dodd's bill calls for SEC study, not a fiduciary standard; advisors await final markup. |
Investment Advisor
January 2010
Melanie Waddell |
Congress Reaches Year-End Goal A House-passed bill nixes FINRA's oversight of RIAs and a comprehensive financial services reform bill likely by the end of first quarter. |
Investment Advisor
June 2010
Melanie Waddell |
Next Steps for Congressional Action Reconciliation of reform bills looms. Will Schapiro get fiduciary authority she wants? |
Investment Advisor
March 2010
Melanie Waddell |
Washington Watch: Dodd Says Act Now on Financial Reform As bipartisan wrangling continues, Senate Banking Committee Chairman Chris Dodd prepares a fight for new consumer agency. |
Registered Rep.
March 5, 2010
Kristen French |
Washington Not Swayed By Mainstream Media On Fiduciary Standard. What About Clients? Will all the media attention influence brokerage clients? Many have already been migrating to investment advisers who act as fiduciaries on the RIA side of the business. |
The Motley Fool
January 11, 2010
Jennifer Schonberger |
A Rough New Year for Congress Let's preview the political implications for financial regulatory reform and the market. |
Registered Rep.
March 15, 2010
Kristen French |
Dodd Bill Requires Year-Long Study of Fiduciary Issue, SRO Idea, Gives SEC Muscle Banking reform legislation introduced Monday would give the SEC greater enforcement muscle over RIAs, and would require it to conduct a study examining the effectiveness of extending the fiduciary standard to brokers. |
Investment Advisor
October 2009
Melanie Waddell |
Danger & Opportunity: Financial Services Reform Bill Inevitable Financial services reform is still alive and kicking, as President Obama made very clear as he renewed his push for reforms during his speech to Wall Street. |
Investment Advisor
February 2010
Melanie Waddell |
Washington Watch: Fiduciary Wrangling Resumes Groups urge Dodd and Shelby to maintain strong fiduciary language in reform bill. |
Registered Rep.
April 27, 2010
Kristen French |
Goldman Case Boosts Odds For Fiduciary Standard In Senate Bill The Senate hearing with Goldman Sachs may increase the likelihood that a fiduciary standard for brokers will make it into Senator Christopher Dodd's financial regulatory reform legislation. |
Registered Rep.
May 28, 2010
Jake Zamansky |
Wall Street Will (Again) Kill The Passage of a Fiduciary Standard While the House financial reform bill includes a fiduciary standard for brokers in limited circumstances, I'm fairly certain history will repeat itself and the provision will mysteriously and entirely disappear when the House and Senate reconcile their respective bills. |
Bank Director
2nd Quarter 2010
Jack Milligan |
A Shot in the Arm The financial services industry needs a prescription for the mess that's been created because this is an industry that can't afford another crisis. |
U.S. Banker
May 2009
Stacy Kaper |
Will Close Vote Doom Card Reform? Although the Senate Banking Committee has voted to adopt comprehensive credit card reforms, the close margin cast doubt on its odds for enactment. |
The Motley Fool
February 16, 2010
Jennifer Schonberger |
Could This Bill Kick Growth Into Gear? Sen. Bob Corker on financial regulatory reform. |
Registered Rep.
May 20, 2010
Kristen French |
Senate Nears Vote On Financial Reform, Fiduciary Standard On Hold The Senate voted 60-40 Thursday to end weeks of debate on Christopher Dodd's financial regulatory reform legislation, in what is called a cloture vote. That clears the way for a final vote on the bill within 30 hours. |
Investment Advisor
September 2009
Melanie Waddell |
Danger & Opportunity: Stitching Together Healthcare Reform The healthcare debate moved outside the beltway in August, as members of Congress headed back home to face constituents bent on voicing their opinions on healthcare reform during townhall meetings. |
Registered Rep.
May 13, 2010
Kristen French |
Widening Probe of Wall Street Firms Further Raises Profile of Fiduciary Issue With news Thursday that a preliminary criminal investigation has been launched into some of Wall Street's biggest firms concerning potentially misleading sales of CDOs to clients, the fiduciary train is set to gain additional momentum in Washington. |
Investment Advisor
December 2009
Kathleen M. McBride |
B/D Briefing: Surprise Broker Sentiment Most appear to support a fiduciary standard. |
Registered Rep.
May 6, 2010
Kristen French |
Washington Goes Crazy For Fiduciary Standard A number of senators are scrambling to get on the fiduciary bandwagon following last weeks' Goldman Sachs hearings. |
Bank Systems & Technology
November 11, 2009
Maria Bruno-Britz |
Banking Groups React to Sen. Dodd's Draft Regulatory Legislation With a Big 'No' Although organizations approve of the Senate's efforts, they say it goes too far in undermining those aspects of financial services that actually work. |
Investment Advisor
May 2010
Bob Clark |
Clark at Large: Hope and Change Hope is waning for a fiduciary standard for brokers. But the battle's not over yet. |
Investment Advisor
August 2009
Melanie Waddell |
Healthcare Reform Steamroller Advances House and Senate committees offer health reform bills. Both the House and Senate legislation would likely raise taxes for many. |
Investment Advisor
August 2010
Melanie Waddell |
Washington Watch: Financial Services Reform Finalized SEC gets fiduciary powers, but lack of self funding may pose trouble |
The Motley Fool
March 16, 2010
Matt Koppenheffer |
How to Fail at Financial Reform Real financial reform still seems to be something of a pipe dream. What we got from Sen. Chris Dodd, chairman of the Senate Banking Committee, fell far short. |
Investment Advisor
April 1, 2011 |
SEC and the Fiduciary Study: Politics and the Fiduciary Standard AdvisorOne Wealth Editor Kate McBride explains the political process under which Dodd Frank was passed, up to the SEC's reports on an SRO and fiduciary standard |
Investment Advisor
November 2009
Melanie Waddell |
Danger & Opportunity: Healthcare, Financial Services Reform Making Headway Two of the Obama Administration's top priorities to accomplish by year-end -- healthcare and financial services reform -- are well on their way to fruition. |
Investment Advisor
October 2009
Melanie Waddell |
Danger & Opportunity: Healthcare Reform Picks Up Momentum Healthcare reform is still moving ahead, despite opposition from Republicans and well-covered populist discontent over the plan. |
Registered Rep.
June 15, 2010
Kristen French |
Fiduciary Duty For All Hangs On Senator Tim Johnson After months and months of public debate and back-room deal-making, a final outcome on fiduciary duty -- the biggest issue for financial advisors, stockbrokers and wealth managers in the Wall Street reform bill -- may be decided Wednesday. |
Investment Advisor
June 2010
Melanie Waddell |
FINRA's Ketchum Sees a Fiduciary Future for B/Ds Inappropriate sales of VAs to seniors at top of FINRA regulatory radar. |
U.S. Banker
April 2010
Steve Garmhausen |
A New Standard for Bank Brokers? A bill mandating that brokerages adhere to a fiduciary standard would mean more disclosures, more work for bank compliance departments and more training. |
Registered Rep.
June 24, 2010
Kristen French |
Congress Agrees to Fiduciary Standard For Brokers In negotiation over Wall Street reform Thursday, Senator Tim Johnson (D., S.D.) accepted a final counter-offer from the House this afternoon that would give the SEC rulemaking authority to extend the fiduciary duty to brokers who provide investment advice. |
Insurance & Technology
February 4, 2010 |
Pelosi Plans Vote to Revoke Health Insurers' Antitrust Exemption U.S. House Speaker Nancy Pelosi said she plans to schedule a vote on a bill to revoke the health insurance industry's exemption from antitrust laws. |
Investment Advisor
May 2010
Melanie Waddell |
Schapiro Speaks on Fiduciary, 12b-1s In an exclusive interview, the SEC Chairman speaks her mind. |
Investment Advisor
November 2009
James J. Green |
FPA's Barry Is Optimistic The fiduciary issue remains central to the Financial Planning Association's lobbying efforts, and it has publicly voiced support for extending the fiduciary standard to the broker community. |
Investment Advisor
July 2009
Melanie Waddell |
Danger & Opportunity: Bracing for Change It looks to be all but inevitable that the rules for broker/dealers and investment advisors will be harmonized, and that broker/dealers offering investment advice will have to adhere to a fiduciary standard of care. |
Entrepreneur
July 2002
C.J. Prince |
Out of Reach Could proposed 401(k) overhauls put small-business owners in over their heads? |
U.S. Banker
November 2009
Kaper & Hopkins |
Dodd's Power of Persuasion Facing long odds, the Banking Committee Chairman builds support for a plan to create a prudential regulator. But would a single agency kill the dual banking system? |
Investment Advisor
July 2009
Melanie Waddell |
The Great Health Reform Debate President Barack Obama has set an ambitious deadline of October to achieve comprehensive healthcare reform. |
Investment Advisor
December 2009
Melanie Waddell |
Danger & Opportunity: Staggering Toward Reform Investor Protection Act passes with lots of fiduciary-related amendments; action on Dodd not likely until 2010. |
BusinessWeek
April 7, 2010
Paul M. Barrett |
The Wall Street Reform Fight We Really Need The coming Senate battle over the Dodd bill will distract attention from a simple, powerful change that could actually buffer banks against the next financial crisis. |
On Wall Street
August 1, 2010
Sen. Tim Johnson |
Coordinating Global Regulation Senator who helped hammer out the reform bill says this is just the beginning. |
The Motley Fool
May 18, 2010
Jennifer Schonberger |
The Man Behind the SAFE Banking Act on Fixing Wall Street Senator Ted Kaufman discusses why, despite the defeat of his SAFE banking amendment, there is still hope for real reform. |
Salon.com
June 30, 2000
Jake Tapper |
Campaign reform chic What made 33 Republicans suddenly change their minds about a bill that cracks down on stealth PACs? |
Financial Planning
September 1, 2010
Trone & Harvey |
Sweet Harmony Industry and regulators can feel comfortable that a fiduciary standard need not be cumbersome, but should, when properly crafted, significantly improve how investment decisions are prudently managed. |
Insurance & Technology
March 29, 2010
Anthony O'Donnell |
Insurance Associations Express Concerns About Financial Reform Bill Sen. Christopher Dodd's reform bill proposes only modest changes to the existing insurance regulatory regime, but industry associations are pushing back against resolution funding requirements and potentially duplicative regulation. |
BusinessWeek
January 6, 2010 |
How Dodd's Exit Alters The Reform Equation What Chris Dodd's resignation means to the Federal Reserve and consumer protection. |
