06/30/2010
This is the latest version, subject to late changes, of the House-Senate conferees' version of the Dodd-Frank financial regulatory reform legislation. This is current as of June 30, 2010.
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06/24/2010
Final text of the House-Senate conferee's legislative language for fiduciary duty issue in financial regulatory reform bill.
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5/3/2010
The Senate showdown last week with seven current or former Goldman Sachs employees included questioning about whether the firm was or should be under a fiduciary duty standard.Sens. Susan Collins (R-Maine) and Mark Pryor (D-Ark.) led the questioning before a Senate committee April 27. Collins asked ...
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5/3/2010
SEC Commissioner Elisse Walter last month openly called for the creation of an SRO for advisers. Speaking at an industry conference, she also questioned proposals before Congress to shift RIAs with under $100 million in AUM to state regulators and to give certain advisers a pass on registration."I b ...
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04/23/2010
The Senate Banking Committee's report on The American Financial Stability Act from March 2010.
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04/14/2010
A copy of the “talking points” from Edward Jones for lobbying against an expanded fiduciary duty. This came up in the congressional debate in 2010 over broadening the IA standard to broker-dealers.
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03/29/2010
This bill is called the Protect Our Recovery Through Oversight of Proprietary Trading Act of 2010 or the PROP Trading Act. This is proposed legislation designed to restrict proprietary trading by certain hedge funds, investment advisers and others.
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03/15/2010
The financial regulatory reform bill proposed by Sen. Christopher Dodd (D-Conn.) in March 2010. This is now referred to as S.3217 or The Restoring American Financial Stability Act, and was formally submitted in April 2010.
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3/1/2010
How to extend a fiduciary duty to certain broker-dealers has long tangled lawmakers and policymakers and this week members of the SEC's Investor Advisory Committee showed again how vexing the issue can be.If policymakers hope the committee will settle on a solution, much work remains. The topic at t ...
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02/17/2010
A bill called the Regulated Investment Company Modernization Act of 2009, known as H.R. 4337.
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