| Similar Articles |
|---|
 |
Commercial Investment Real Estate
Nov/Dec 2010
Michael Hamilton |
Ready for Reform? Dodd-Frank requirements may put the squeeze on borrowers.   |
Commercial Investment Real Estate
Sep/Oct 2011
Thomas R. Petty |
Loan Language What can borrowers negotiate under today's stricter standards? |
On Wall Street
December 1, 2011
Peter J. Wallison |
Volcker Rule: A Throwback To A Bygone Era The Volcker Rule, enacted as part of the Dodd-Frank Act in 2010, has lately received a lot of adverse commentary. |
Wall Street & Technology
September 21, 2004
Paul Allen |
Basel II: Coming to America Now that the Basel II Accord will apply to the U.S. securities industry, some firms are playing catch-up. |
On Wall Street
July 1, 2009
Mark Astarita |
The SEC's "Feel Good" Committee The Securities and Exchange Commission announces the formation of an Investor Advisory Committee, which it says will give investors a greater voice in its work. |
On Wall Street
August 1, 2012
Donna Borak |
Dodd-Frank Reforms Inch Along In the first year after passage of the Dodd-Frank Act, regulators made some progress implementing the law. Now they have essentially ground to a halt. |
Registered Rep.
December 4, 2002
Ross Tucker |
Data Overload Five brokerage firms were fined $8.25 million for record-keeping violations. |
Registered Rep.
June 15, 2007
Kevin Burke |
Wachovia Extends Olive Branch to A.G. Edwards Reps. Will They Accept? Just 15 days after it announced it was buying A.G. Edwards, Wachovia Securities announced its retention package for A.G. Edwards reps. |
BusinessWeek
April 7, 2011
Karen Weise |
Banks 'Too Big to Fail' Could Get Bigger Federal agencies putting mortgage and derivative reforms into force are writing rules that seem to have a big-bank bias. |
Investment Advisor
September 2010
Bob Clark |
Clark at Large: Time to Represent, Advisor Leaders! Advisors can play a powerful role in the SEC's fiduciary deliberations, if they can get their leaders to lead. |
National Defense
September 2011
McGrath et al. |
New Rules Give Incentives to Whistleblowers As more than 1,500 letters to the SEC during the notice and comment period confirm, the Dodd-Frank whistleblower requirements are complex and the program is controversial. |
Investment Advisor
April 1, 2011
Melanie Waddell |
GOP's End Game in Nixing SEC Funds: Stopping Dodd-Frank Republicans' rehashing of supposed failures at the SEC is 'counter-productive,' says former Chairman Harvey Pitt |
Registered Rep.
November 4, 2008 |
Top Merrill FAs Playing Hardball With Retention Package They have taken the first step towards getting changes made by collectively hiring a lawyer, who "ripped the retention contract to shreds." |
Registered Rep.
March 5, 2009
Halah Touryalai |
"Look Ma, Me Regulate!" No Retention Bonuses from Wells Fargo. Exceptions Apply; Merrill Bonus Saga Continues In its latest effort to prove its effectiveness, the SEC says it wants to reevaluate the rules governing credit-rating agencies. |
Investment Advisor
April 1, 2011
Melanie Waddell |
SEC Funding in the Budget Fight Crosshairs Commission may be the biggest casualty as lawmakers continue tussle over the federal budget |
Bank Director
1st Quarter 2011
Jack Milligan |
In the Eye of the Storm Former Comptroller of the Currency John C. Dugan speaks candidly about the financial crisis of 2008, the landmark Dodd-Frank Act and the need for minimum loan underwriting standards for the banking industry. |
Investment Advisor
March 1, 2011
Melanie Waddell |
SEC Fiduciary Rule May Hit by Summer Despite the advisory industry's hopes that the Securities and Exchange Commission would get a quick start on writing a rule to put brokers under the same fiduciary standard as advisors, it looks as though a rulemaking could come by summer. |
Investment Advisor
April 1, 2011
Thomas D. Giachetti |
Dodd-Frank: An Overview Of Pending Changes For Investment Advisors Dodd-Frank deadlines are fast approaching. Are you ready? |
CFO
November 1, 2010
Vincent Ryan |
Making Sense of Bank Reform The Dodd-Frank Act is arguably as inscrutable as the institutions and instruments it is supposed to fix. |
CFO
June 16, 2003
Bob Violino |
File Under 'Nightmare' Information overload has acquired a regulatory dimension, forcing senior executives to take notice. |
Registered Rep.
March 10, 2011
Kristen French |
SEC Says Bigger Budget Is Supported By BCG Report In testimony before Congress Thursday, SEC Chairman Mary Schapiro made a case for an increase in the agency's funding to $1.407 billion for 2012. |
Wall Street & Technology
October 27, 2003
Ivy Schmerken |
The Check's In the Mail Financial-services firms are well advised to check their e-mail-retention policy against evolving regulations. |
Insurance & Technology
June 30, 2010
Anthony O'Donnell |
Insurance Trade Associations Mostly Relieved by Financial Reform Bill Deal Duplicative federal regulation of the insurance industry is essentially absent from the Dodd-Frank bill that emerged from a Marathon session in Congress June 25. |
Investment Advisor
October 2010
Melanie Waddell |
Implications of a Republican-Controlled Congress The consensus is pretty clear: The mid-term elections could result in Republicans taking control of the House and gaining more seats in the Senate. |
InternetNews
August 29, 2005
Jim Wagner |
Work Remains for Sarbox Compliance Businesses have a lot of work ahead of them before they're fully compliant with federal data retention and financial reporting rules under the Sarbanes-Oxley Act, a new study concludes. |
Wall Street & Technology
July 1, 2005
Maria Santos |
Fast Facts According to the Securities Industry Association's 2004 Investor Survey, nine out of 10 investors are "very" or "somewhat" satisfied with the service provided by their investment professional. |
HBS Working Knowledge
July 21, 2010 |
HBS Faculty Debate Financial Reform Legislation What do Harvard Business School faculty experts who conduct research on financial markets and regulation and who, in many cases, have held leadership positions in the financial sector, think about the bill and its intended (and unintended) consequences? |
CFO
October 1, 2010
Randy Myers |
The Calm Before Reform With sweeping new legislation on the horizon, companies (and their banks) try to gauge the impact. |
