Dodd-Frank

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  SEC’s Schapiro Expects Fiduciary Standard Proposal in 2013

  By Joyce Hanson, AdvisorOne  |  October 23, 2012

  "The passage of time has not discouraged me at all," Schapiro said at SIFMA's annual meeting on Wednesday. "The devil is in the details, but I’m more confident that we will get it done, not less.”

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  Greenspan to Wall Street: Drop Dead

  By Joyce Hanson, AdvisorOne  |  October 23, 2012

  At SIFMA’s annual meeting in New York, former Fed chairman advocates letting big banks fail.

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  Hedge Fund Managers Charged With Ripping Off Investors, Including a Retired Teacher

  By Melanie Waddell, AdvisorOne  |  October 3, 2012

  The SEC charged one manager with stealing more than $500,000 from a retired schoolteacher who thought she was investing her retirement savings in a hedge fund.

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  Advice for the Next President; High Returns With Low Risk: September Research—Slideshow

  By Editorial Staff  |  August 23, 2012

  The September issue of Research puts a prime focus on the upcoming election. In "Where Will They Steer Us?" Nicole Gelinas of the Manhattan Institute looks at Wall Street reform. In "A Bold New Direction," Senior Editor Kenneth Silber sketches out a radical tax overhaul. Other highlights of the issue...

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  On Dodd-Frank’s 2nd Birthday, Should Investors Celebrate?

  By Knut A. Rostad  |  July 20, 2012

  Individual investors have not witnessed dramatic regulatory changes favoring investors over the past two years, but they seem to be voting with their assets, moving them more toward fiduciary advisors.

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  Puzzling Over Dodd-Frank, Profiting From Social Networks: July Research—Slideshow

  By Editorial Staff  |  June 28, 2012

  In Research magazine's July cover story, Manhattan Institute scholar Nicole Gelinas ennumerates ongoing uncertainties about the landmark legislation's scope and significance. Also in the issue, Ellen Uzelac looks at social media's potential.

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  SEC Redefines ‘Accredited Investors’ Under Dodd-Frank

  By James J. Green, AdvisorOne  |  December 22, 2011

  Value of primary residence won’t count toward net worth calculation required to invest in Reg D securities.

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  SEC Launches Whistleblower Webpage to Report Violations

  By Melanie Waddell, AdvisorOne  |  August 15, 2011

  With the official launch of its Whistleblower office on Friday, the SEC also launched a webpage that allows individuals to report a violation of the federal securities laws and apply for a financial award.

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  Schapiro to Senate: Dodd-Frank Doomed Without More Money

  By Melanie Waddell, AdvisorOne  |  July 21, 2011

  SEC Chairman warns lawmakers that the agency needs 'significant additional resources' in order to proceed with its responsibilities under Dodd-Frank.

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  Dodd-Frank, the IBD Perspective: FSI’s Chief Warns of Restricted Investor Choice

  By James J. Green, AdvisorOne  |  July 21, 2011

  FSI CEO Dale Brown says that one year later, “We have no more certainty” on key issues than when the bill was signed.