Dodd-Frank Act

• Janus Chooses Fidelity as Retirement Benefits Provider

  By Marlene Y. Satter, AdvisorOne  |  November 8, 2011

  Fidelity has been chosen by Janus Capital Group (JNS) as its retirement benefits provider, the company announced Tuesday. It will provide a defined contribution plan, a nonqualified retirement savings plan and stock plan services to approximately 1,100 Janus participants with some $250 million in assets under administration when rollout is...

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  Big U.S. Banks Are ‘Uninvestable,’ Say Industry Insiders at SIFMA Meeting

  By Joyce Hanson, AdvisorOne  |  November 8, 2011

  Industry insiders criticized big U.S. banks as being “uninvestable” on Tuesday at the Securities Industry and Financial Markets Association’s (SIFMA) annual meeting in New York.

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  SEC’s Rominger: Agency Studying Mutual Fund Shareholder Reports, Financial Literacy

  By Melanie Waddell, AdvisorOne  |  November 3, 2011

  The SEC's study on financial literacy will help SEC in rulemaking on point of sale disclosures of an investment product or service, Rominger says

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  Forget Advisor SRO; Use External Auditors for Exams, Academic Study Urges

  By Melanie Waddell, AdvisorOne  |  October 27, 2011

  A Georgetown business school professor offers another option in lieu of an SRO for advisors: outsourcing routine advisor exams to external third parties, such as accounting and consulting firms.

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  SEC Adopts Hedge Fund Reporting Rules

  By Melanie Waddell, AdvisorOne  |  October 26, 2011

  The SEC on Wednesday adopted a rule to require advisors to hedge funds and other private funds with at least $150 million in assets to report information for use by the FSOC in monitoring risks to the U.S. financial system.

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  Volcker Fallout? Morgan Stanley, Goldman Might Exit Bank Business

  By John Sullivan, AdvisorOne  |  October 13, 2011

  Susquehanna Financial Group analyst David Hilder says Goldman Sachs and Morgan Stanley may consider dropping their status as bank holding companies to avoid increased costs related to the 'Volcker rule,' the latest fallout from the proprietary trading proposal released earlier this week.

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  SEC Advances Volcker Rule

  By Melanie Waddell, AdvisorOne  |  October 12, 2011

  A day after being approved by the FDIC, the SEC approved the proposed rule implementing the Volcker rule, mandated under Section 619 of Dodd-Frank.

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  ‘Volcker Rule’ Proposal Approved by FDIC; Wall St. Fumes

  By James J. Green, AdvisorOne  |  October 11, 2011

  Wall Street firms decry proposed rules to take effect in July 2012; FDIC will accept comments until Jan. 13.

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  SEC & DOL Disagree on Universal Fiduciary Standard

  By William H. Byrnes, Esq., Robert Bloink, Esq., LL.M.  |  October 8, 2011

  Can the SEC and the Department of Labor work together to resolve the confusion surrounding the fiduciary standard?

• Roy Woodall Confirmed for FSOC Post

  By Marlene Y. Satter, AdvisorOne  |  September 28, 2011

  Roy Woodall, nominated for the only voting seat of three on the Financial Stability Oversight Council devoted to insurance experts, was confirmed on Tuesday in the Senate.