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Investment Advisor
February 2009
Melanie Waddell |
Is Mary What the SEC Needs? The alternative to FINRA overseeing advisors, and what advisors would definitely prefer, is a self-regulatory organization.   |
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. |
On Wall Street
February 1, 2013
Kenneth Corbin |
Regulatory Forecast Bodes Change Advisors could see talks on oversight and a fiduciary standard move forward this year. |
Investment Advisor
March 1, 2011
Melanie Waddell |
House, Senate Hearings Next on Fiduciary Industry groups lobby for user fees to fund advisor exams in lieu of an SRO. |
Investment Advisor
November 19, 2010
Melanie Waddell |
GOP House Will Attempt to Rein in Health Care, Dodd-Frank Republicans will urge SEC, other regulators, to 'go easy' in interpreting Dodd-Frank |
Investment Advisor
March 1, 2011
Kathleen Mcbride |
SEC and the Fiduciary Study: The Process Why the fiduciary standard became such a hot topic for regulators |
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
April 1, 2011
Melanie Waddell |
GOP's End Game in Nixing SEC Funds: Stopping Dodd-Frank Republicans' rehashing of supposed failures at the SEC is 'counter-productive,' says former Chairman Harvey Pitt |
Investment Advisor
August 2010
Melanie Waddell |
Washington Watch: Financial Services Reform Finalized SEC gets fiduciary powers, but lack of self funding may pose trouble |
On Wall Street
July 1, 2013
Lorie Konish |
SEC's Walter Calls for Uniform Fiduciary Standard At the recent FINRA conference, SEC Commissioner Elisse Walter endorsed advisor gold standard. |
Investment Advisor
March 1, 2011
Melanie Waddell |
SEC Fiduciary Rule May Hit by Summer Despite the advisory industry's hopes that the Securities and Exchange Commission would get a quick start on writing a rule to put brokers under the same fiduciary standard as advisors, it looks as though a rulemaking could come by summer. |
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. |
Investment Advisor
August 2010
Melanie Waddell |
Will the States Be Able to Regulate Big RIAs? State regulators and the Securities and Exchange Commission (SEC) will meet soon to iron out the details of shifting nearly 4,000 advisors from federal to state supervision. |
Investment Advisor
June 2009
Melanie Waddell |
SEC's Walters Backs Harmonizing B/D, Advisor Rules Yet another top official at the SEC is championing the idea of harmonizing rules for investment advisors and broker/dealers. |
Financial Planning
October 1, 2010
Katherine Reynolds Lewis |
Study Harder New Dodd-Frank legislation kick-started two major initiatives that could transform the way financial advice is regulated and for the first time subject financial planning to explicit regulatory oversight. |
On Wall Street
January 1, 2013
Elizabeth Wine |
10 Power Players for 2013 On Wall Street profiles the most influential personalities in the advisory industry this year. |
Investment Advisor
September 2009
James J. Green |
Fiduciary Committee Huddles with SEC The Committee for the Fiduciary Standard held face-to-face-meetings with two SEC Commissioners, Congressional staffers, and a Treasury Department official to discuss the Committee's five fiduciary principles. |
Investment Advisor
September 2010
Bob Clark |
Clark at Large: Time to Represent, Advisor Leaders! Advisors can play a powerful role in the SEC's fiduciary deliberations, if they can get their leaders to lead. |
Managed Care
April 2005 |
Health Care Costs Remain Top Concern for CFOs Despite all the recent discussion about Social Security reform, chief financial officers in the United States say that rising health care cost remains their top concern, according to a survey. |
U.S. Banker
March 2010
Alan Kline |
Dysfunction in D.C. The sight of Democrats cheering and Republicans sitting on their hands when the president plugged financial reform was disheartening to anyone who believes the system needs fixing. |
AFP eWire
November 8, 2004 |
Bush, Congress at Odds Over Charities? At his first press conference since being reelected, President Bush indicated that tax reform will be a priority in his second term and stated that tax incentives for charitable giving are very important and should not reduced. |
CFO
March 1, 2003
Tim Reason |
Two Weeks in January The SEC put much of the Sarbanes-Oxley Act into effect by passing a slew of new rules. Here's what was proposed and what was disposed. |
Registered Rep.
December 11, 2002
Will Leitch |
Bush Appoints DLJ Founder To Run SEC A month since embattled former chairman Harvey Pitt resigned, President Bush announced plans to nominate William Donaldson, founder of investment bank Donaldson Lufkin & Jenrette to head the Securities and Exchange Commission. |
BusinessWeek
April 14, 2011
Dougherty & Schmidt |
Time's Nearly Up for Elizabeth Warren Obama is looking for other candidates to lead the Consumer Financial Protection Bureau created by the Harvard law professor |
Investment Advisor
May 1, 2011 |
Follow the Leaders: The 2011 IA 25 Announcing the 2011 IA 25 - Fiduciary, behavior, retirement and much more |
Geotimes
March 2005
Emily Lehr Wallace |
Inside Baseball Rules Congress Knowing the ins and outs of committee jurisdictions and chairmanships is knowledge that can give scientists power in promoting their interests. |
U.S. Banker
July 2011
Rob Blackwell |
About That Repeal... Why Dodd-Frank Isn't Going Anywhere A rollback of the Dodd-Frank financial reform law is a pipe dream. It was one from the beginning. |
Bank Director
1st Quarter 2010
Jack Milligan |
A Look at the Hill and Beyond Steve Bartlett, head of a financial services lobbying group, talks about political gyrations in Congress and the concerns all banks ought to be having about the impact of banking reform on the U.S. economy. |
Registered Rep.
November 8, 2002
David A. Geracioti |
The Doctor, Not the Rule Book Speaking to the SIA, outgoing SEC Chief Pitt says the SEC enforced regulations with "unprecedented vigor." |
The Motley Fool
June 14, 2011
Rich Smith |
Dear Congress: Please Stop Robbing Us It's time to pass the Stop Trading On Congressional Knowledge Act. |
Information Today
January 15, 2007 |
Library of Congress Unveils Beta of New THOMAS The Library of Congress has released a new beta version of THOMAS, its Web site that provides access to federal legislation and related documents. |
Investment Advisor
April 1, 2011
Melanie Waddell |
SEC Funding in the Budget Fight Crosshairs Commission may be the biggest casualty as lawmakers continue tussle over the federal budget |
CFO
August 1, 2012
Randy Myers |
Unfinished Business Two years after the passage of the Dodd-Frank Act, the law's implementation is far behind schedule, and its success is still in doubt. |
InternetNews
September 6, 2006
Ed Sutherland |
Leak Probe Ripples HP Board HP today filed with the Securities and Exchange Commission an explanation of its investigation into corporate leaks and the resignation of a member of the company's board of directors. |
Registered Rep.
March 21, 2012
Diana Britton |
Money Market Debate Still Heated Despite SEC Call for `Constructive Dialogue' During the 2012 Mutual Funds and Investment Management Conference Monday, SEC Commissioner Elisse Walter called for the money market fund industry to stop taking shots in the media about any proposed regulations governing money market funds. |
InternetNews
September 19, 2006
Needle & Joyce |
More Called to Testify in HP Scandal A congressional committee has now asked HP's global security manager, Anthony Gentilucci, and private investigator Joe Depante, owner of Action Research Group in Melbourne, Fla., to testify at a hearing slated for Sept. 28 in Congress. |
Registered Rep.
May 31, 2013
Megan Leonhardt |
Cold Call: Michael Kitces Michael Kitces, Research Director of Pinnacle Advisory Group talks about business plans for advisors. |
Entrepreneur
April 2002
Jennifer Pellet |
Tough Enough Despite speculations of a kinder SEC, Harvey Pitt is cracking down on business... |
U.S. Banker
January 2011
Joe Adler |
Birth of a New Kind of Regulator To some, Elizabeth Warren's concept of a consumer protection regulator is an innovation. To others, it s an abomination. Either way, it's here to stay, and banking regulation will never be the same. |
InternetNews
September 15, 2006
Roy Mark |
Congress Wants HP Front And Center HP is guaranteed another embarrassing day in the sun over its pretexting scandal, this time with the cameras rolling and a national audience. |
Salon.com
November 7, 2002
Andrew Leonard |
Pitt is history, but the foxes are still guarding the henhouse So what if the most visible face of Bush's see-no-evil economic policies is gone? Corporate reform is further away than ever. |
On Wall Street
February 1, 2012
Joe Adler |
Hill's Focus on Volcker Rule Just Starting The Volcker Rule is shaping up to be a case study of lawmakers continuing to sound off on an issue that is technically no longer under their purview. |
On Wall Street
August 1, 2012
Donna Borak |
Dodd-Frank Reforms Inch Along In the first year after passage of the Dodd-Frank Act, regulators made some progress implementing the law. Now they have essentially ground to a halt. |
Investment Advisor
January 1, 2011
John Sullivan |
State of Regulation: A Conversation with FSI's Dale Brown The Financial Services Institute will branch out to help advisors with small business issues. |
HBS Working Knowledge
July 21, 2010 |
HBS Faculty Debate Financial Reform Legislation What do Harvard Business School faculty experts who conduct research on financial markets and regulation and who, in many cases, have held leadership positions in the financial sector, think about the bill and its intended (and unintended) consequences? |
Reason
April 2007
David Weigel |
Reformers vs. the Old Guard Will fiscal conservatives retake the GOP? Here are four key members to watch in Congress. |
InternetNews
September 20, 2006
Roy Mark |
Congress Calls Still More HP Officials Less than a day after HP submitted documents to a U.S. House investigative committee relating to the company's pretexting scandal, the panel wants even more HP officials to testify at a Sept. 28 hearing. |
Registered Rep.
September 10, 2002
Rick Weinberg |
Pitt Tells NASD, NYSE to Hear California Arbitration Cases Pitt told the exchanges in a letter dated Sept. 5 that they have to "immediately" provide California investors access to arbitration panels in the state or some other forum to dispute claims. |
Registered Rep.
October 1, 2002
David A. Gaffen |
Pitt to NASD, NYSE: Foul! The NASD and NYSE sued the California Judicial Council to stop new arbitration rules, claiming SEC oversight and federal law preempts separate state regulation. Harvey Pitt has ordered the organizations to empanel arbitrators to start handling the cases against brokers that have been piling up. |
Registered Rep.
October 1, 2012
Diana Britton |
60 seconds with Lauren Locker The newly elected chair of the National Association of Personal Financial Advisors talks about her priorities for the job. |
