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Articles tagged "Barney Frank"


I learned most when I spoke directly to the politicians, in this case, Chris Dodd.

How Barney Frank and Chris Dodd surprised me after I got them aside for one-on-one chats
The namesakes for Dodd-Frank invest personally through Morgan Stanley and Merrill Lynch and seem to be oblivious about why that may not be in their best interests -- though I tried to explain it to Barney Frank

Tuesday 12.17.13
Before the lights went out: A consumer panel says what it knows about what it doesn't.

TD throws its first client-best-interest summit, a micro-event, by 'candlelight' in Palm Beach and ideas rise from the RIA deeps
As members of a consumer panel bitch creatively, fed up advisors dig deep for ideas that depend less on DC vicissitudes and more on RIA will and unity

Monday 6.17.13
Tom Nally and Fred  Tomczyk put their heads together before the opening session.

TD Ameritrade Institutional Elite Summit boasts big firms, big ideas and a defiance of the weather
A combined $133 billion AUM of advisors -- made up of 133 advisors -- made for rareified, if highly humid air in Palm Beach

Friday 6.14.13
Barney Frank (r.) with TD's Skip Schweiss: We can’t confuse people who are already confused.

Barney Frank puzzles crowd on his fiduciary stance at TD summit -- as questions from Skip Schweiss and advisors expose his haziness on the RIA structure and soul
The namesake of the Dodd-Frank bill seems to buy into a suitability approach as a gold standard for financial advice

Thursday 6.13.13
Barney Frank and Chris Dodd are now aware of how persuasive Brian Hamburger can be as they put Vegas on their pre-Christmas calendar.

In a major 'get' MarketCounsel books Dodd and Frank to play Vegas
How Brian Hamburger booked the Martin and Lewis of financial legislators to his -- formerly -- bare-bones conference

Wednesday 4.3.13
Elizabeth MacBride on how a small group of advocates for advisors and the fiduciary standard influence the debate this year in Washington, D.C.

What went right: the story of the fiduciary standard this year
A long-odds fight by advocates and a well-timed Goldman Sachs stumble and -- voilà -- brokers may have to begin putting customers' interests first

Monday 6.28.10
A strong advocate for the fiduciary standard, Frank pulled out a win in the conference committee this afternoon.

Improbable win for fiduciary standard: Congress set to hand SEC power to impose fiduciary duty on broker-dealers
Conference committee agrees on a measure that calls for six-month study and then gives SEC authority to write single set of rules for advisors and brokers

Friday 6.25.10
If only the conference commitee room were this peaceful.

Regulatory Wire: former SEC chairs slam financial services reform
Plus, DOL's new webinar on 401(k) compliance; the SEC speaks on target date funds; and questions about Stoneridge

Friday 6.18.10
Committee Chairman Barney Frank (D-Mass) sees SEC rule-making authority, but after a certain “preparatory” time.

As House and Senate talk compromise, Barney Frank hints at a win for fiduciary advocates
In Washington end game, the fiduciary standard hangs in the balance between Barney Frank and Tim Johnson

Thursday 6.17.10
Barney Frank on state regulators: “You have been an improvement on the federal regulators.”

Feds happily punt to states on advisor oversight
Move would take 33% of RIAs off of SEC's plate

Tuesday 10.6.09



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