Category Archives: Dodd-Frank

Lessons from the Financial Crisis

With the S&P 500 Index up 23.5% as of November 1st, the panic that gripped the markets five years ago during the financial crisis is a distant memory. Yet, the anniversary of our economy’s biggest test since the Great Depression … Continue Reading

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Dodd-Frank Debated

In a recent news article, “Old Fears Resurface as Lawmakers Confront Basel III, Dodd-Frank Changes,” Donna Borak reported that U.S. lawmakers at a House Financial Services Committee recently addressed whether requirements of the Dodd-Frank Act, combined with tougher international capital … Continue Reading

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CFA to Congress: Ignore Misleading Industry Arguments and Allow SEC to Proceed with Fiduciary Rule

In January, in response to a requirement of the Dodd Frank law, the SEC delivered a report to Congress recommending that broker-dealers be subject to the same fiduciary standard of care as investment advisors. However, the SEC delayed imposing the … Continue Reading

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In the News: The Fiduciary Standard

After six months of study required by the Dodd-Frank Act, the Securities and Exchange Commission (SEC) recently announced that all advisors, including brokers, should be held to a fiduciary standard because investors already assume their brokers are acting in their best … Continue Reading

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