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By Melanie Waddell, AdvisorOne |
March 13, 2012
The Financial Services Institute and Financial Services Roundtable are pressuring the Department of Labor to release a “progress report” on the department’s redrafting of its rule amending the definition of fiduciary under ERISA.
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By Melanie Waddell, AdvisorOne |
March 6, 2012
SEC chairman says 676 new employees could be added under Obama budget request; agency reviewing regional offices.
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By Melanie Waddell, AdvisorOne |
February 28, 2012
The SEC on Tuesday announced a rule proposal to help protect investors from identity theft by ensuring that broker-dealers, mutual funds, and other SEC-regulated entities create programs to detect and respond appropriately to red flags.
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By Melanie Waddell, AdvisorOne |
February 23, 2012
UBS Wealth Management recently released its first in a series of five Election Watch 2012 reports designed to guide investors through the critical issues and developments of this pivotal year for the political landscape.
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By Melanie Waddell, AdvisorOne |
February 16, 2012
The SEC announced Thursday that it is tightening its rule on investment advisory performance fees to raise the net worth requirement for investors who pay performance fees by excluding the value of the investor’s home from the net worth calculation.
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By Joyce Hanson, AdvisorOne |
February 14, 2012
The controversial Volcker rule that regulates proprietary trading came in for a final round of comment as frustrated bankers, activists and Paul Volcker himself flooded government regulators with statements.
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By Gil Weinreich, AdvisorOne |
January 31, 2012
Why did U.S. regulators fail to react to the alarming increases in leverage at financial institutions, or the shift of trillions of dollars of assets from banks’ balance sheets that were packaged into complex securities? Three former regulators propose a solution to what ails our regulatory system.
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By Melanie Waddell, AdvisorOne |
January 31, 2012
Carlo di Florio, director of the SEC's Office of Compliance Inspections and Examinations, told AdvisorOne on Tuesday that the recent boost in funding that the SEC received from Congress is not enough to thwart the need for an advisor SRO.
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By Melanie Waddell, AdvisorOne |
January 18, 2012
Lawmakers took regulators to task on Wednesday over their proposal to implement Section 619 of the Dodd-Frank Act, commonly referred to as the Volcker rule, citing the proposed rule’s complexity as well as its costs.
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By Melanie Waddell, AdvisorOne |
January 3, 2012
The law firm Davis Polk & Wardwell on Tuesday released its latest Dodd-Frank “progress report” on where the various regulators stood on their implementation of the act.
