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