Chris Dodd and Barney Frank: Wall St. Reformers —The 2015 IA 35 for 35
In an exclusive interview, former Sen. Dodd speaks about the Dodd-Frank law's progress, regulators’ fiduciary efforts and where the next crisis will come from.
SEC’s White ‘Proud of Progress’ at Commission
Mary Jo White told attendees at the Rocky Mountain Securities Conference that she was “proud of the progress” the SEC has made in reducing risk to investors.
SEC Chief: Advisor Exam Crunch Is a ‘Serious’ Investor Protection Issue
SEC chief White tells senators the current 10% advisor exam rate is cause for "great concern" and discusses fiduciary rules.
An SEC Broker Fiduciary Standard May Undermine the ’40 Act
In my March 25 blog on ThinkAdvisor.com, “Will She or Won't She? Mary Jo White and the Broker Fiduciary Standard,” I voiced some concerns about SEC Chairwoman White's recent remarks at SIFMA's Legal and Compliance Seminar in Phoenix pertaining to the SEC's plans to move forward with a fiduciary standard...
5 Key Issues for a Succession Plan
In recent statements, SEC Chairwoman White has indicated that some requirement for succession planning will be incorporated into the much-anticipated uniform fiduciary duty rule.
Blowing the Whistle? SEC Has Your Back, Chief White Says
"We have seen enough to know that whistleblowers increase our efficiency and conserve our scarce resources," SEC Chief White said.
SEC Proposes Executive Comp Disclosure Rules
The proposed rules are out for a 60-day comment period.
NASAA Adopts Model Succession Plan Rules
The rules are meant to be a roadmap for states. The SEC is developing its own succession planning rules for RIAs.
Senate Democrats Push Back on DOL Fiduciary Plan
The Obama administration plan to tighten rules on brokers is facing blowback from the president’s own party.
SEC Panel: 2 Big Problems With Advisor Background Checks
Investors don’t check advisor and rep backgrounds, and the data itself can be problematic.