The Battles That Shaped Dodd-Frank
Chris Dodd and Barney Frank shared anecdotes about what really keeps Wall Street awake at night and who has more political clout than big banks.
Build Your Own Buzz
“Why,” asked a noted advisor, “is there not more of a buzz about these regulatory changes that will affect all our lives?”
At SSG, a Focus on Compliance, Including Expert Advice for State- and SEC-Registered RIAs
Some states are shifting field examiners to handle registration duties for the “Big Switch,” says Chris Winn of AdvisorAssist; states reaching out to RIAs, says NCS’ Kellli Capitano.
Dodd Delivers Vivid Speech on Financial Crisis at fi360 Conference
Former Sen. Christopher Dodd, in a passionate speech at the fi360 Conference in San Antonio on Thursday, spoke vividly about the early days of the financial crisis and how financial reform evolved from January 2007 until now.
Reform--and Fiduciary--Not Dead, Yet
As the financial reform bill continues to work its way through the process of reconciling the Senate and House versions, the fiduciary duty for all...
True Colors: The Coalition for Financial Planning
Well, the CFP Board finally made its move. Last Friday, the Board-led Coalition for Financial Planning unveiled what it's named "The Financial Planners Act of...