Tags: self-regulatory organization

Fiduciary Standard for Brokers Not Likely Soon, If Ever

January 14th, 2012
in econ_news

Send feedback »

Econintersect:  Nearly one year after the SEC (Securities and Exchange Commission) started work on defining what should be the fiduciary standard for retail stock brokers, there is no indication that anything near a result has been achieved.  In the cale… more »

Tags: broker-dealer, certified financial planner, cfp, cfp board, cost-benefit analysis, dodd-frank, fiduciary, financial planning association, finra, fpa, mary shapiro, nasd, registered rep, scott garrett, sec, self-regulatory organization, series 6, series 63, series 7, sro

House Proposes Legislation for Fox to Watch Hen House

September 11th, 2011
in econ_news

Send feedback »

The House proposed draft legislation Thursday (Sept. 8) that would allow one or more SROs (self-regulatory organizations) to oversee all investment advisers. The bill was trotted out by House Financial Services Committee Chairman Spencer Bacchus in advance of a Sept. 13 hearing to review provisions of Dodd-Frank that govern the regulation of broker/dealers and investment advisers. These include the SRO matter as well as whether to extend fiduciary duty to brokers and broker/dealers. more »

Tags: broker-dealer, certified financial planner, cfp, cfp board, dodd-frank, fiduciary, financial planning association, finra, fpa, nasd, registered rep, self-regulatory organization, series 6, series 63, series 7, sro

GOP: SEC Lacks 'Solid Basis' for Fiduciary Rule Making

March 22nd, 2011
in econ_news

Send feedback »

GOP congressmen request SEC to halt actions on fiduciary responsibilty. more »

Tags: dodd-frank, fiduciary, financial regulation, gop, kathleen casey, mary shapiro, republicans, sec, securities exchnage commission, self-regulatory organization, sro, steve garrett, troy paredes