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Articles written by Sara Hansard


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If Congress passes financial reform, it only sets the stage for a new host of FINRA, SEC and DOL issues
May 14, 2010 at 5:38 AM

Arlen Specter: I have long believed that it is insufficient to have fines for fraud. For corporate fraud, you have a fine and it is calculated as part of doing business.

Regulatory Wire: Advisor groups long have pushed for the fiduciary standard; because of the Goldman Sachs case, they may get what they asked for, and more

Senators call for ERISA-level standards of care for retail investors; also, Schapiro puts new ADV part 2 back on the radar

May 7, 2010 at 6:06 AM

Goldman Sachs CEO Lloyd Blankfein denied that his firm had an obligation to sell securities they thought would be good investments, or to disclose the company’s short position on such securities.

Regulatory Wire: Goldman Sachs opens door for the fiduciary standard; Senators pile on to the cause

Jail time for those who violate the standard? There's a new tone in Washington, D.C.

April 30, 2010 at 4:30 AM

Legislators haven't been under this much pressure to reform financial services since after the Great Depression.

Regulatory Wire: Everything an RIA needs to know about the reform agenda in Washington

If major change doesn't occur, it won't be for lack of effort

April 9, 2010 at 6:20 AM

Sen. Herb Kohl favors disclosure by planners of conflicts of interest and compensation.

Proposal would sweep RIAs, planners, brokers into one huge regulatory pool (Updated)

New board promoting the fiduciary standard would oversee 75,000

March 10, 2010 at 9:46 AM

Lou Harvey: The bigger impact is on IRAs, not 401ks. There are a heck of a lot more IRAs out there and advisers involved in IRAs.

IRA assets could be ripped from the grasp of brokers if DOL has its way

With brokers disqualified, fee-only advisors may have 'phenomenal' opportunity to dominate $4.1 trillion IRA market

March 4, 2010 at 6:47 AM

Ed Ferrigno: It’s still extremely muddled.

Why the DOL's proposed 401(k) rules could ding brokers and leave the spoils to RIAs

SIFMA cries foul on the basis that such regulations would reduce people's access to retirement plans

March 3, 2010 at 7:16 AM

Neil Simon: What we are facing... is the possibility of the end of the regulatorily-distinct investment advisory profession

Top RIA lobbyist says insurance foes have been 'more effective' in fiduciary battle but urges patience

Neil Simon: Supporters of a strict fiduciary standard can prevail with an effective end game

March 1, 2010 at 5:16 AM

Elisse Walter: We’ve been making it too hard on ourselves.

SEC's Walter looks for an easier way out on fiduciary question

Johnson amendment gains primacy as jockeying continues on the Hill

February 25, 2010 at 10:56 PM

Robert Eisenbeis says the too-big-to-fail legislation is likely to be complex and arcane. "This is the sausage," he says.

A different take on too-big-to-fail

Shadow Committee posits that bankruptcy law may be better after all

February 23, 2010 at 11:29 PM

Steve Bartlett: If we can move the needle and get our hundred companies into the automatic transfer [system], it will change the economy of this country in a profound way in a few short years.

Giant push is on in Washington to create a nation of savers

Banks are taking the lead but companies like Fidelity Investments, Raymond James, and Edward Jones plan to jump aboard

February 22, 2010 at 6:18 AM

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