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By John Sullivan, AdvisorOne |
October 4, 2010
The staffs of the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) released a joint report Friday which detailed their findings regarding the market events of May 6, 2010
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By Melanie Waddell, AdvisorOne |
September 23, 2010
Rep. Paul Kanjorski, D-Pa., chairman of the House Financial Services Subcommittee on Capital Markets, said Thursday that Congress should consider expanding the Securities Investor Protection Act's coverage to investment advisors' clients
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By Joyce Hanson, AdvisorOne |
September 7, 2010
As part of its efforts to modernize, the Securities Investor Protection Corp. will hold its first-ever online forum for investors who want to speak out about the SIPC's operations at 8 p.m. EDT on September 14 at www.SIPCModernization.org.
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By Melanie Waddell, AdvisorOne |
August 4, 2010
The House Financial Services Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises plans to tackle the future of housing finance and the limitations of the Securities Investor Protection Act when it re-convenes in September
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By Melanie Waddell, AdvisorOne |
July 20, 2010
SEC expects to add 800 positions to carry out new duties under Dodd-Frank bill.
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By Melanie Waddell, AdvisorOne |
July 19, 2010
Securities regulator also announces it will add three new offices to Division of Corporation Finance.
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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...
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By Kathleen McBride, AdvisorOne |
June 16, 2010
'Essential to protecting investors' says Frank at reconciliation conference for Wall Street reforms bills.
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By Melanie Waddell, AdvisorOne |
December 2, 2009
Full House to begin debating financial reform December 9
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By Melanie Waddell, AdvisorOne |
November 1, 2009
Two of the Obama Administration's top priorities to accomplish by year-end--healthcare and financial services reform--are well on their way to fruition. The Senate Finance Committee passed...