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By Melanie Waddell, AdvisorOne |
October 6, 2009
Draft calls for broad study of SEC; state regulators and IAA call for increasing advisor exam threshold
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By Melanie Waddell, AdvisorOne |
September 30, 2009
Frank promises vote on omnibus reform bill by early November
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By Melanie Waddell, AdvisorOne |
August 1, 2009
While members of Congress praised SEC Chairman Mary Schapiro July 14 for acting quickly to institute changes at the beleaguered agency, lawmakers said more work...
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By Melanie Waddell, AdvisorOne |
July 14, 2009
Lawmakers press the SEC Chair to continue taking bold steps
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By Staff Writer |
April 7, 2009
Independent broker/dealer advocates are urging Congress to rethink a proposed amendment that will expand the Public Company Accounting Oversight Board's (PCAOB) authority to regulate auditors...
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By Melanie Waddell, AdvisorOne |
April 1, 2009
As Washington becomes the nerve center of financial services, advisors will be forced to keep pace with the numerous laws, potential laws, Congressional hearings, and...
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By Melanie Waddell, AdvisorOne |
April 18, 2008
Rep. Paul Kanjorski (D-Pennsylvania), chairman of the House Financial Services Committee's Capital Markets Subcommittee, said at a hearing on financial services reform April 16 that he plans to introduce legislation today that will create an interim federal oversight agency, the Office of Insurance Information, within the U.S. Treasury Department.
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By Melanie Waddell, AdvisorOne |
November 1, 2007
The hot topics that Congress will continue to debate this year and into 2008 are whether to create an optional federal regulator for the insurance...