More On Legal & Compliance
from The Advisor's Professional Library- Regulatory Oversight of Investment Advisors Although the regulatory environment is in a state of flux, it is imperative that RIAs adhere to their compliance obligations. To ensure compliance, RIAs and IARs must fully understand what those obligations are.
- Best Practices for Working with Senior Investors Securities examiners deal harshly with RIAs that do not fulfill their fiduciary obligations toward senior investors, as the SEC and state securities regulators view older investors as particularly vulnerable and in need of protection.
According to the Securities Industry Financial Markets Association (SIFMA), the conferee members are expected to work on specific provisions of the bill from June 15 to 17 and June 22 to 24, with the goal of reaching an agreement on or before June 26. The goal is to have a final bill to President Obama by July 4.
The final list of House and Senate conferees are as follows:
Senate:
Tim Johnson (D-South Dakota)
Jack Reed (D-Rhode Island)
Chuck Schumer (D-New York)
Chris Dodd (D-Connecticut)
Blanche Lincoln (D-Arizona)
Tom Harkin (D-Vermont)
Pat Leahy (D-Vermont)
Dick Shelby (R-Alabama)
Bob Corker (R-Tennessee)
Michael Crapo (R-Idaho)
Judd Gregg (R-New Hampshire)
Saxby Chambliss (R-Georgia)
House:
Barney Frank (D-Massachusetts)
Carolyn Maloney (D-New York)
Paul Kanjorski (D-Pennsylvania)
Luis Gutierrez (D-Illinois)
Maxine Waters (D-California)
Melvin Watt (D-North Carolina)
Gregory Meeks (D-New York)
Dennis Moore (D-Kansas)
Mary Jo Kilroy (D-Ohio)
Spencer Bachus (R-Alabama)
Ed Royce (R-California)
Judy Biggert (R-Illinois)
Shelley Moore Capito (R-West Virginia)
Jeb Hensarling (R-Texas)
Scott Garrett (R-New Jersey)


















