Results 6 to 10 of 54

CFPB eyes financial advisors to seniors

USA - October 30 2012 In establishing the Consumer Financial Protection Bureau, the Dodd-Frank Act was not aiming primarily at investment advisors or broker-dealers.

Mutual funds and insurance companies eye major swap participant definition

USA - August 27 2012 In April, the CFTC and SEC (the Commissions) finalized rules defining what swap or security-based swap activities will cause a person or company to be a major swap participant or a swap dealer under Dodd-Frank.

CFTC rule changes: a silver lining?

USA - August 27 2012 Investment advisers to mutual funds, ETFs, and private funds are chafing under recent CFTC rule changes that may require them to register as commodity pool operators or commodity trading advisers.

Joan E. Boros

Fsoc sheds little light on systemic risk determinations

USA - August 27 2012 The Financial Services Oversight Council (FSOC) has now spilled considerable ink describing the manner in which it will discharge its responsibility under Dodd-Frank to determine which non-bank financial companies present sufficient risk to the U.S. financial system that they should be subject to special Federal Reserve Board (Fed) regulation pursuant to Dodd-Frank.

FINRA targets broker-dealer conflicts of interest

USA - August 7 2012 FINRA is asking selected broker-dealer firms about conflicts of interest to which they are subject and how they are managing those conflicts.

Richard Choi, Ann Furman