February 25, 2010 Are Senators strong enough—and do they have enough integrity—to stand up on behalf of retail investors and insist on extending the fiduciary standard to cover those who provide advice to retail investors?...
January 29, 2010 Did the requirement to repay TARP funds in order to pay bonuses for 2009 prompt some banks to repay the bailout funds too early? ...
January 19, 2010 Goldman Sachs Chairman and CEO Lloyd C. Blankfein testified that at Goldman Sachs, “…we do support the extension of a fiduciary standard to broker/dealer registered representatives who provide advice to retail investors." ...
January 15, 2010 It has been an extraordinary week, by any standard, if you were paying attention to what was happening in Washington regarding the financial crisis. ...
December 29, 2009 As we emerge from a challenging economic crisis, there is reason to hope that changes and opportunities we will see in this new year—some as a direct result of the economic crisis—will be positive....
December 07, 2009 “I believe that all securities professionals should be subject to the same fiduciary duty," says SEC Chair Mary L. Schapiro....
November 16, 2009 Now that we have heard from both the House and Senate committees on finance and banking about investor protection, let’s not misinterpret what they are saying. ...
October 16, 2009 The Dow Jones Industrial Average hit a year-to-date high and jumped above 10,000 on Oct. 14, and the next day hit another high of 10,062.94. Unless you are short, this is good news for you and for your clients. ...
October 08, 2009 Both investment advisors and broker/dealer registered representatives routinely give financial and investment advice to clients. What is still different is the rules that protect those investors....
September 22, 2009 Financial reform is around the corner. How will it affect you and your clients? The Capital is abuzz with discussions regarding re-regulation of financial services, something that the Administration wants to see passed by year-end....
September 08, 2009 Once an advisor has that trusted relationship with a client, can the advisor “go back” to a non-fiduciary relationship?...
August 26, 2009 President Obama nominated Fed Chairman Ben Bernanke for another four-year term on August 25, “because of his background, his temperament, his courage, and his creativity,” in fighting the financial crisis that is now entering its third year. ...
August 14, 2009 Obama proposes reforms for OTC derivatives...Judge Jed Rakoff wants answers about Bank of America-Merrill bonuses...the Lewis Liman defense....
August 10, 2009 Depression Averted...says Paul Krugman...Should the Sec be self-funded? They make much more for the Treasury than they receive from Congress......
August 03, 2009 No matter what the economy does, donors are going to continue to shovel hundreds of billions of dollars into the social sector and wealth managers need to position themselves to help their clients give well. ...
July 31, 2009 No matter what the economy does, donors are going to continue to shovel hundreds of billions of dollars into the social sector and wealth managers need to position themselves to help their clients give well. ...
July 24, 2009 David Adler says, “not so fast,” at least when it comes to money... Global Hedge Fund assets will rise, but not very quickly, according to Cerulli Associates. ...
July 17, 2009 Will SIFMA's proposed “federal fiduciary standard" and disclosure requirement water down the standards as they exist currently for investment advisors and ERISA fiduciaries? ...
July 10, 2009 The Treasury Department sent "Legislation for Strengthening Investor Protection" to Capitol Hill on July 10. ...
July 06, 2009 Krugman blog, obama too opimistic about economy?, FFAS Bans Commissions, Portfolio Re-Construction, Gibson Warwick Webinar...
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