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Articles tagged "Barney Frank"


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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

December 17, 2013 at 7:27 PM

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

June 17, 2013 at 4:33 AM

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

June 14, 2013 at 2:56 PM

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

June 13, 2013 at 6:02 PM

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

April 3, 2013 at 5:32 PM

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

June 28, 2010 at 7:29 AM

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

June 25, 2010 at 3:36 AM

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

June 18, 2010 at 5:17 AM

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

June 17, 2010 at 4:45 AM

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

October 6, 2009 at 9:55 PM

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