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By Melanie Waddell |
April 24, 2012
In a bid to push the deadlocked fiduciary rulemaking process forward, advisory and consumer trade groups that support broadening the fiduciary role for all advice givers made an unusual move in late March.
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By Bob Clark, AdvisorOne |
October 1, 2011
To hear Duane Thompson tell it, now that the Republicans have control of the House of Representatives, a bill authorizing a self-regulatory organization for investment advisors any time soon is unlikely.
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By Marlene Y. Satter |
September 22, 2011
More advisors may feel the necessity to seek independence, as lack of potential government bailouts led to ratings cut.
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By James J. Green, AdvisorOne |
August 23, 2011
Proposed rule G-36 flowing from Dodd Frank is designed, MSRB says, to 'put interests of state and local governments first.'
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By Melanie Waddell, AdvisorOne |
July 12, 2011
As anniversary nears, Congressman expresses frustration that GOP is using “deficit crisis to under fund the SEC and CFTC”
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By Melanie Waddell, AdvisorOne |
July 5, 2011
A stern warning to firms engaging in municipal advisory activities without registering, a violation of the Exchange Act and rules of both agencies.
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By John Sullivan, Advisorone |
June 28, 2011
Top Senate Democrats sent a letter to the leader of the House Appropriations Committee House appropriators on Tuesday criticizing Republican’s proposed cuts to the SEC, calling them “unacceptable and counterproductive.”
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By Michael S. Fischer |
June 27, 2011
The SEC approved a new rule defining what kind of firm can call itself a “family office” and thereby be excluded from the Investment Advisers Act of 1940.
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By Marlene Y. Satter |
June 22, 2011
Under rules approved at an SEC open meeting on Wednesday, some 3,200 advisors will find themselves "switched" to state, rather than SEC, regulation because of a change in the way they are classified as mandated by the Dodd-Frank Act.
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By Melanie Waddell, AdvisorOne |
June 16, 2011
Republicans voiced concern about economic impact of Dodd-Frank on U.S. competitiveness.
