On Dodd-Frank’s 2nd Birthday, Should Investors Celebrate?
Individual investors have not witnessed dramatic regulatory changes favoring investors over the past two years, but they seem to be voting with their assets, moving them more toward fiduciary advisors.
Puzzling Over Dodd-Frank, Profiting From Social Networks: July Research—Slideshow
In Research magazine's July cover story, Manhattan Institute scholar Nicole Gelinas ennumerates ongoing uncertainties about the landmark legislation's scope and significance. Also in the issue, Ellen Uzelac looks at social media's potential.
SEC Redefines ‘Accredited Investors’ Under Dodd-Frank
Value of primary residence won’t count toward net worth calculation required to invest in Reg D securities.
SEC Launches Whistleblower Webpage to Report Violations
With the official launch of its Whistleblower office on Friday, the SEC also launched a webpage that allows individuals to report a violation of the federal securities laws and apply for a financial award.
Schapiro to Senate: Dodd-Frank Doomed Without More Money
SEC Chairman warns lawmakers that the agency needs 'significant additional resources' in order to proceed with its responsibilities under Dodd-Frank.
Dodd-Frank, the IBD Perspective: FSI’s Chief Warns of Restricted Investor Choice
FSI CEO Dale Brown says that one year later, “We have no more certainty” on key issues than when the bill was signed.
Top 4 Dodd-Frank Concerns as Law Enters Second Year
For advisors, four issues will take the spotlight as the Dodd-Frank reform bill enters its second year—fiduciary duty, an SRO for advisors, harmonization, and adequate funding for the SEC.
Dodd-Frank: FPA, CFP Board Say Much 'Still in Play' for Advisors
FPA's Dan Barry and CFP Board's Marilyn Mohrman-Gillis tell AdvisorOne that advisors will be affected by a host of changes in year two of Dodd-Frank
Dodd-Frank and Fiduciary: Why I’m Depressed; What to Do
Wall Street’s apparent success in ‘Reforming the Reform’ may well leave a true fiduciary standard behind. So, what to do?
Dodd-Frank Anniversary: Big Reform Followed by Mixed Progress—Slideshow
Like many well-meaning legislative efforts, the law has become clouded by political mud fights and has ballooned in size and scope.