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By Melanie Waddell, AdvisorOne |
December 28, 2011
While SEC Chairman Mary Schapiro said in mid-December comments first reported on Bloomberg that the agency would issue a proposed fiduciary rule this year, she also stated in the Bloomberg interview that a fiduciary rule proposal will be “business model neutral” and allow brokers working with retail investors to sell...
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By Melanie Waddell, AdvisorOne |
December 9, 2011
Bloomberg reports SEC chairman considering “business model neutral” rule that retains proprietary products, commissions; Evensky, Tittsworth, Brown and Barry respond.
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By Melanie Waddell, AdvisorOne |
October 1, 2011
Lawmakers and industry officials debated the merits in mid-September of whether there should be a self-regulatory organization (SRO) for advisors, and at least one industry official says to expect SRO legislation from the House this fall.
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By James J. Green, AdvisorOne |
September 17, 2011
Democratic Congressman writes Labor Secretary Solis, calling for her to “withdraw and repropose” fiduciary rule under ERISA; FPA and FSI voice approval
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By Melanie Waddell, AdvisorOne |
July 21, 2011
FPA's Dan Barry and CFP Board's Marilyn Mohrman-Gillis tell AdvisorOne that advisors will be affected by a host of changes in year two of Dodd-Frank
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By James J. Green, AdvisorOne |
February 1, 2011
The association of independent broker-dealers recommended that the SEC choose FINRA as the SRO for RIAs.
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By Melanie Waddell, AdvisorOne |
January 13, 2011
Next week is a crucial one for advisors as three reports mandated under Dodd-Frank will be handed to Congress—the SEC will deliver its studies on the need for a SRO for advisors on Jan. 17 and fiduciary duty on Jan. 21, while the GAO will deliver its study on regulation...
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By James J. Green, AdvisorOne |
October 13, 2010
You are important enough to be regulated, and the interconnectedness of the world financial system requires that you be regulated to protect consumers and that system.
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By James J. Green, AdvisorOne |
October 10, 2010
Both sides of the regulatory equation were on display during a Sunday morning session at FPA Denver 2010.
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By Melanie Waddell, AdvisorOne |
July 1, 2010
Whether a fiduciary duty for broker/dealers and all types of financial advisory professionals makes it into the final financial reform legislation (which remains in conference...
