We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search

Clear all

Refine your search

3 results found

Article

Jorden Burt LLP | USA | 6 Jul 2011

Iowa draws line between insurance and securities advice

On June 24, 2011, the Iowa Insurance Division, which regulates insurance and securities, issued identical companion bulletins outlining the permitted and prohibited activities of "Insurance-Only Persons" and "Securities-Only Persons." See Insurance Bulletin 11-4 and Securities Bulletin 11-S-1.

Article

Jorden Burt LLP | USA | 1 Feb 2011

GAO would enhance financial planner regulation within current framework

February 1, 2011 -- The Government Accountability Office ("GAO") on January 18, 2011 released a report to Congress entitled Regulatory Coverage Exists for Financial Planners, but Consumer Protection Issues Remain.

Article

Jorden Burt LLP | USA | 28 Jan 2011

SEC commissioners divide over fiduciary duty for broker-dealers

January 28, 2011-- Last Friday, the SEC delivered to Congress a 166-page study (available here) mandated by the Dodd-Frank reform legislation (the "Study") concerning the regulatory requirements that apply to investment advisers and broker-dealers when they provide personalized investment advice about securities to retail customers.

Previous page 1 Next page