10 Ways Regulators Can Improve Dodd-Frank
Since its inception in 2012, the Bipartisan Policy Center's financial regulatory reform initiative has proposed 100 recommendations to improve Dodd-Frank. Here are 10 recommendations BPC released in mid-July.
5 Big Regulatory Changes Coming in 2014
Want to prepare your practice for potential changes in the year ahead? Keep your eye on these five areas.
SEC Issues Risk Alert and Reminder: Continuity Plans and Reg S-ID
A good disaster recovery plan will not only protect your firm from unnecessary scrutiny, it may also help maintain your client relationships and your business.
Do You Need to File Form PF?
Last year, the SEC created some confusion when it required advisors who manage private funds to periodically file Form PF. Herewith, we dispel that confusion.
New Hire Roundup: Christian Brothers Appoints Four
This week in new hires, Christian Brothers Investment Services announced four key appointments, and American Century welcomed Joseph Schultz.
Poll Results: As SEC’s Schapiro Steps Down, Advisors Speak Up
Our AdvisorOne survey found some sentiment for Sallie Krawcheck, but gave regulators overall poor marks for protecting consumers and providing a level playing field.
Senate Banking’s Johnson Asks JPMorgan’s Dimon to Testify
Sen. Tim Johnson, D-S.D., chairman of the Senate Banking Committee, said Thursday that he planned to hold the first hearing regarding the JPMorgan losses on Tuesday, May 22.
MF Global’s Corzine Tells Congress: I Don’t Know Where the Money Is
The former CEO of now-bankrupt MF Global says he was ‘stunned' to learn about the missing $1.5 billion in client funds at commodities broker-dealer.
In Dodd-Frank Slap, Looser Derivatives Rules Approved by House Panel
On Wednesday, the House Financial Services Committee voted to send on three pieces of legislation that are designed to loosen derivatives rules put in place by the Dodd-Frank Wall Street Reform and Consumer Protection Act.
House Democrats to DOL: Fiduciary Reproposal Should Meet Certain Standards
More than 30 House Democrats sent a letter to Secretary of Labor Hilda Solis that not only thanked her for Phyllis Borzi’s decision to withdraw the DOL’s proposed rule redefining the term fiduciary, but also set out specific areas the new rule should address when it’s reproposed in early 2012.