Frank Act

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  SEC Rule Defines ‘Family Offices’ Under Dodd-Frank

  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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  SEC Approves New 'Switch' Rules for Advisors

  By Marlene Y. Satter, AdvisorOne  |  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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  House, Senate GOP Blast Dodd-Frank on Jobs, Capital Flight

  By Melanie Waddell, AdvisorOne  |  June 16, 2011

  Republicans voiced concern about economic impact of Dodd-Frank on U.S. competitiveness.

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  Why SEC’s June 22 Meeting Will Dramatically Alter Life for Advisors

  By David Tittsworth, IAA  |  June 14, 2011

  The vote on the big ‘switch’ means big changes for the investment advisory profession.

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  Rep. Garrett Prods CFTC's Gensler on Dodd-Frank Derivatives Rules

  By Melanie Waddell, AdvisorOne  |  June 3, 2011

  Garrett, chair of House Capital Markets subcommittee, asks CFTC chair to reply to extensive list of 12 questions by June 10.

• Schapiro Says SEC to Focus in July on Fiduciary, 12b-1

  By Melanie Waddell, AdvisorOne  |  June 1, 2011

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  SEC Finalizes Whistleblower Rules

  By Melanie Waddell, AdvisorOne  |  May 25, 2011

  The SEC approved by a vote of 3-2 on Wednesday final rules implementing the Whistleblower provisions of Dodd-Frank Act.

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  House GOP Panel Votes to Delay Dodd-Frank Derivatives Rules

  By Melanie Waddell, AdvisorOne  |  May 25, 2011

  Republicans on the House Financial Services Committee on Tuesday passed legislation, on a 30-24 party-line vote, delaying by 15 months implementation of derivatives regulations as set forth in the Dodd-Frank Act.

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  Risk Management and Due Diligence Can Set Your Firm Apart

  By J. Gibson Watson III, CIMA, Envestnet  |  May 23, 2011

  Bolster your fiduciary process with oversight practices that strengthen your service to clients.

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  MSRB, FINRA, SEC Work Together on Dodd-Frank Rules and Enforcement

  By Kathleen McBride, AdvisorOne  |  May 23, 2011

  ‘We’re dealing with other people’s money here,’ MSRB Chairman says.