President Obama Poised to Sign Financial Reforms into Law

More On Legal & Compliance

from The Advisor's Professional Library
  • Regulatory Oversight of Investment Advisors Although the regulatory environment is in a state of flux, it is imperative that RIAs adhere to their compliance obligations. To ensure compliance, RIAs and IARs must fully understand what those obligations are.
  • Do’s and Don’ts of Advisory Contracts In preparation for a compliance exam, securities regulators typically will ask to see copies of an RIAs advisory agreements. An RIA must be able to produce requested contracts and the contracts must comply with applicable SEC or state rules.
As historic financial services reforms are signed into law on July 21, WealthManagerWeb.com has extensive coverage. Get the thought-leading coverage, right here.

Senate Passes Landmark Financial Services Reform Bill

July 16, 2010 - By MELANIE WADDELL

The Senate passed Thursday, July 15, the massive 2,300-page financial services reform bill; the bill now goes to President Obama for his signature, which is expected in the coming days. ...

Impact of Financial Reform Bill on Advisors, Broker/Dealers and Banks

July 15, 2010 - By JANET P. LEVAUX

While it isn't an updated version of Glass-Steagall, the financial services reform legislation the Senate passed, 60-39, on July 15, is poised to have a variety of impacts on the large banks employing wirehouse advisors, as well as on broker/dealers....

In Financial Reform Bill, Marketplace Winners and Losers

July 15, 2010 - By JOYCE HANSON

Early market reaction to the financial services reform bill, which the Senate passed, 60-39, on Thursday, July 15....

Financial Reform Over the Decades: A Timeline

July 15, 2010 - By KENNETH SILBER

The financial services reform legislation, which the Senate passed, 60-39, on Thursday, July 15, is the latest in a century-spanning series of efforts to revamp financial and securities activities through regulation. ...

Passage of Reform Bill Brings Quick Response

July 16, 2010 - By MELANIE WADDELL

Financial Planning Coalition awaits SEC study on fiduciary standard for brokers and GAO study on regulation of financial planners....

SEC Plan for Bifurcated Form ADV Part 2 Is Balked at by State Regulators

July 14, 2010 - By MELANIE WADDELL

The North American Securities Administrators Association (NASAA) is objecting to the Securities and Exchange Commission's (SEC) upcoming staff recommendation to adopt a version of Form ADV Part 2. ...

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