IA > Legislation/Regulation http://www.investmentadvisor.com Copyright 2008 News, Advice, Events & Analysis for Independent Advisors & RIAs en-us http://www.investmentadvisor.com/images/ia_logo122x21.gif IA > Legislation/Regulation http://www.investmentadvisor.com CFP Board Beefs Up DC Staff http://www.investmentadvisor.com/article.php?article=8980 Tue, 22 Jul 2008 11:39:00 -0400 Melanie Waddell Finance http://www.investmentadvisor.com/article.php?article=8980 Mohrman-Gillis to head public policy

Furthering its efforts to strengthen its presence in Washington, the CFP Board recently named Marilyn Mohrman-Gillis as its new managing director of public policy. Mohrman-Gillis will start her new position August 18.

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]]> Treasury Injects Liquidity Into Fannie, Freddie http://www.investmentadvisor.com/article.php?article=8950 Mon, 14 Jul 2008 13:16:00 -0400 Melanie Waddell Finance http://www.investmentadvisor.com/article.php?article=8950 Three-pronged plan designed to keep GSEs functioning normally

Acting to avert bankruptcy for the nation’s two biggest home loan lenders, Congress approved an emergency “rescue package” over the weekend of July 12-13 that gives the Treasury Department the ability to inject billions in investments and loans to Fannie Mae and Freddie Mac.

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]]> Wheels of Blueprint in Motion http://www.investmentadvisor.com/article.php?article=8945 Fri, 11 Jul 2008 13:56:00 -0400 Melanie Waddell Finance http://www.investmentadvisor.com/article.php?article=8945 Recent SEC/Fed info-sharing agreement acts as catalyst

House Financial Services Committee Chairman Barney Frank (D-Massachusetts) said July 10 that there’s a consensus building that more financial services regulation is needed, and that Congress “should be moving to empower the Federal Reserve Board to have regulatory authority over a wide range of financial institutions.”

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]]> Off the Beaten Path http://www.investmentadvisor.com/article.php?article=8940 Tue, 8 Jul 2008 16:52:00 -0400 Angela Herbers Finance http://www.investmentadvisor.com/article.php?article=8940 Spurred on by the advisors she works with, Angie Herbers offers her own take on the CFP Board's latest actions.

Spurred on by the advisors she works with, Angie Herbers offers her own take on the CFP Board's latest actions.

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]]> SEC Nominees Confirmed http://www.investmentadvisor.com/article.php?article=8938 Wed, 2 Jul 2008 12:56:00 -0400 Melanie Waddell Finance http://www.investmentadvisor.com/article.php?article=8938 Three new commissioners will have terms ranging from two to five years

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]]> With Friends Like These… http://www.investmentadvisor.com/article.php?article=8902 Tue, 1 Jul 2008 00:00:00 -0400 Bob Clark Finance http://www.investmentadvisor.com/article.php?article=8902 What’s the CFP Board really up to, and will it benefit financial planners?

My sense is that these days, some financial planners have become ambivalent about the doings of the CFP Board. So you may or may not have taken note that five of the nine members of the Board’s Disciplinary and Ethics Commission—including the co-chairs Harv Ames and Diana Simpson—resigned en masse in March.

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]]> If It Ain't Broke... http://www.investmentadvisor.com/article.php?article=8927 Tue, 1 Jul 2008 00:00:00 -0400 Finance http://www.investmentadvisor.com/article.php?article=8927

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]]> SEC Proposes Rule on EIAs, Opens Rule 15a-6 for Comments http://www.investmentadvisor.com/article.php?article=8931 Wed, 25 Jun 2008 15:13:00 -0400 Melanie Waddell Finance http://www.investmentadvisor.com/article.php?article=8931 Proposed rule determines when an EIA is a security

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]]> More Guidance on HSAs http://www.investmentadvisor.com/article.php?article=8930 Wed, 25 Jun 2008 11:06:00 -0400 Melanie Waddell Finance http://www.investmentadvisor.com/article.php?article=8930 Treasury, IRS Issue Q&A Guidance

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]]> Two AMT Patches Introduced; House Panel Approves Rangel Version http://www.investmentadvisor.com/article.php?article=8869 Wed, 18 Jun 2008 10:44:00 -0400 Melanie Waddell Finance http://www.investmentadvisor.com/article.php?article=8869 Senate amendment offered by Baucus would extend alternative energy tax credits

The House Ways and Means Committee was set to consider legislation on June 18 introduced the previous day by Chairman Charles Rangel (D-NY) that would protect middle-class families from the alternative minimum tax (AMT) this year. The bill, the Alternative Minimum Tax Relief Act of 2008 (H.R. 6275), would ensure “that the number of taxpayers subject to the AMT will not increase,” according to a committee release.

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]]> Good Time to Be a Seller, Sort Of http://www.investmentadvisor.com/article.php?article=8854 Sun, 8 Jun 2008 20:03:00 -0400 James J. Green Finance http://www.investmentadvisor.com/article.php?article=8854 Latest Moss Adams research on advisor M&A shows ’08 slowdown, however

It’s a good time to be a seller of an RIA firm, at least a certain kind of RIA firm, according to the latest definitive research on mergers and acquisitions activity in the advisory market, though there has been a slowdown so far in 2008 on completed deals.

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]]> Forget Inflation, Medicare Is Top Domestic Issue, Says Greenspan http://www.investmentadvisor.com/article.php?article=8853 Sun, 8 Jun 2008 20:01:00 -0400 James J. Green Finance http://www.investmentadvisor.com/article.php?article=8853 Former Fed Chairman discusses inflation and recession fears at Pershing conference

In a wide-ranging discussion on the markets and the economy on June 5, former Federal Reserve Board Chairman Alan Greenspan said that the top domestic issue facing the United States is finding a fix for the Medicare funding issue. Speaking to some 2,00 attendees on the second day of the Pershing Insite 2008 conference in Hollywood, Florida, Dr. Greenspan said that finding a funding solution for “Social Security is relatively minor in comparison.”

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]]> DOL’s Priorities for 2008 and Beyond http://www.investmentadvisor.com/article.php?article=8845 Tue, 27 May 2008 13:06:00 -0400 Melanie Waddell Finance http://www.investmentadvisor.com/article.php?article=8845 Continued exams of advisors as pension consultants, and fee disclosure rules to be completed this year

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]]> NAPFA Set Records; Elects New Chair http://www.investmentadvisor.com/article.php?article=8781 Thu, 15 May 2008 09:58:00 -0400 James J. Green Finance http://www.investmentadvisor.com/article.php?article=8781 Membership tops 2,000 in 25th anniversary year

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]]> Another SEC Commissioner to Leave Office http://www.investmentadvisor.com/article.php?article=8773 Mon, 5 May 2008 18:04:00 -0400 James J. Green Finance http://www.investmentadvisor.com/article.php?article=8773 Paul Atkins to depart an already depleted group

SEC Commissioner Paul Atkins announced May 5 that will leave the Commission; he was originally appointed by President George W. Bush in August 2002.

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]]> Seismic Shift http://www.investmentadvisor.com/article.php?article=8724 Thu, 1 May 2008 00:00:00 -0400 Melanie Waddell, with Kathleen M. McBride Finance http://www.investmentadvisor.com/article.php?article=8724 The Treasury Secretary floats a plan that—if implemented—will change the financial services world as we know it

Treasury Secretary Henry Paulson’s Blueprint for a massive overhaul of the financial services regulatory structure, which he unveiled March 31, is already sparking much debate among finance officials and lawmakers (Congress is planning to hold hearings on the Blueprint). The depth of the reaction to Paulson’s proposals, and the battle lines already being drawn, suggest that these are issues that will dominate discussion within and without the Beltway for a significant period of time.

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]]> SEC To Issue Report on Credit Ratings Agencies http://www.investmentadvisor.com/article.php?article=8748 Wed, 23 Apr 2008 11:01:00 -0400 Finance http://www.investmentadvisor.com/article.php?article=8748 Report to help avert another subprime fiasco

SEC Chairman Christopher Cox told Congress April 22 that the Commission plans to release by early summer a report detailing the Commission’s examination of rating procedures used by credit ratings agencies.

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]]> Kanjorski Calls for Federal Insurance Agency http://www.investmentadvisor.com/article.php?article=8722 Fri, 18 Apr 2008 09:26:00 -0400 Melanie Waddell Finance http://www.investmentadvisor.com/article.php?article=8722 Oversight agency would be housed within Treasury Department

Rep. Paul Kanjorski (D-Pennsylvania), chairman of the House Financial Services Committee’s Capital Markets Subcommittee, said at a hearing on financial services reform April 16 that he plans to introduce legislation today that will create an interim federal oversight agency, the Office of Insurance Information, within the U.S. Treasury Department.

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]]> 12b-1 Headed for an Overhaul http://www.investmentadvisor.com/article.php?article=8655 Tue, 1 Apr 2008 00:00:00 -0400 Melanie Waddell Finance http://www.investmentadvisor.com/article.php?article=8655 After nearly a year of silence, the SEC has decided to revamp 12b-1

“The [12b-1] name alone is one that only a ’40 Act attorney could relate to.” —Don Phillips, president and CEO of Morningstar.

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]]> Cox to Get Rand Recommendations by May 5 http://www.investmentadvisor.com/article.php?article=8664 Tue, 25 Mar 2008 11:29:00 -0400 Melanie Waddell Finance http://www.investmentadvisor.com/article.php?article=8664 Debate ensues on whether to combine advisor, broker/dealer regulations

The SEC’s Director of Investment Management, Buddy Donahue, told a packed room at the Investment Adviser Association’s (IAA) compliance conference in Washington March 21 that he and Eric Surri, director of the SEC’s Trading and Markets division, will deliver to SEC Chairman Christopher Cox by May 5 steps the Commission should take in light of the recent findings of the Rand report.

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