Legislation And Regulation

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  1. Articles

    Barr will build on Tittsworth's legacy at IAA

    With David Tittsworth departing the Investment Adviser Association, its new leader, Karen Barr, will have to turn elsewhere for entertainment for the organization's annual meeting.

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    Tittsworth exits IAA after waging battles on behalf of investment advisers

    After 18 years, David Tittsworth is leaving the Investment Adviser Association, a group he led during a period of expanding regulation.

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    FSI to zero in on state advocacy this year

    Group set to launch lobbying days in Florida, Texas, New York and California.

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    House approves changes to Dodd-Frank law

    The House of Representatives approved legislation Wednesday that would revise the Dodd-Frank financial reform law with delays and exemptions, a sign of the kind of changes that may be in store in a Republican-led Congress.Among the revisions contained in the 30-page bill, which passed 271-154, is a

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    Senate passes national insurance registry

    Bill that would help agents practice in multiple states moves to president's desk.

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    Majority of RIAs should move under state regulation: Study

    Shifting oversight of more RIAs from the SEC to states would increase exam coverage at less cost than establishing third-party reviewers, according to a new report. (See also: After 'the switch' in 2012, state regulators pounced)

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    SEC Investor Advocate: Budget boost 'insufficient' for full adviser exam coverage

    The budget increase the SEC received from Congress is “insufficient” to significantly boost investment-adviser examinations, according to an SEC official charged with representing retail investors.

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    SEC's White defends coverage of investment advisers

    Chairwoman says agency is considering augmenting adviser exams with third-party audits.

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    Senate set to approve national insurance-agent registry

    Though new board has wide support among state regulators, GOP senator cries foul over infringement of states' rights.

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    Will the SEC use its extra funding to strengthen adviser oversight?

    Now that it looks like the SEC will get an additional $150 million in funding, speculation is mounting on how the funds will be deployed. Is increasing adviser oversight going to be a priority?

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    Congress set to pass bill giving SEC a budget boost, leaving DOL fiduciary rule alone

    The bill preventing a government shutdown includes SEC funding hike and allowance to cut pensions. Left out is language that would have killed the DOL's fiduciary rule.

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    Money managers to redraw battle plans after SEC nixes batch of nontransparent ETFs

    In a preliminary decision, the Securities and Exchange Commission has rejected applications for nontransparent ETFs from BlackRock, Inc. and Precidian Investments, determining that the proposals are not in the public interest.

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    Financial planning clients not getting what they pay for: study

    Financial planning clients not getting what they pay for because of a lack of government-enforced professional standards, according to the study sponsor, the Financial Planning Coalition

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    GOP takeover of Senate could make fate of investment adviser issues unclear

    A Republican majority would likely boost the passage of GOP-favored bills, but not the consideration of industry concerns.

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    Accredited-investor definition revamp backed by SEC panel

    Agency's Investor Advisory Committee thinks current standard of income, wealth oversimplifies who should qualify to buy private offerings.