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Articles tagged with: Fiduciary Duty

Study Regarding Obligations of Brokers, Dealers and Investment Advisers
August 31, 2010 – 1:14 pm

August 30, 2010
Elizabeth M. Murphy
Secretary, Securities and Exchange Commission
100 F Street NE
Washington, DC 20549
RE: Release No. 34-62577; IA-3058; File No. 4-606
Study Regarding Obligations of Brokers, Dealers and Investment Advisers
Dear Secretary Murphy:
Americans For Financial Reform (AFR) …

AFR to Conference: Retain Strong Senate/Base Text Derivatives Language
June 24, 2010 – 10:10 am

June 23, 2010
To Members of the H.R. 4173 Restoring American Financial Stability Act of 2010 Conference Committee
Washington, DC 20510

Re: Retain Strong Senate/Base text Derivatives Language

Dear Conferee:
We write on behalf of Americans for …

Congress Must Protect Investors: Restore Provisions Weakened in the Senate Counter-Offer
June 23, 2010 – 2:42 pm

Protect Investors: Restore Provisions Weakened in the Senate Counter-Offer
Dear Conferee:
Yesterday, Senate conferees approved a counter-offer on broker-dealer fiduciary duty that offers the illusion of investor protection, but not the reality.  Senate conferees also approved a …

AFR to Congress: Protect Investors and Impose a Fiduciary Duty on Swaps Dealers
June 9, 2010 – 8:48 am

Chairwoman Blanche Lincoln
328A Russell Building
Washington, DC 20510
Ranking Member Saxby Chambliss
328A Russell Building
Washington, DC 20510
Chairman Collin Peterson
1301 Longworth House Office Building
Washington, DC 20510
Ranking Member Frank Lucas
1305 Longworth House Office Building
Washington, DC 20510
Dear Members:
On behalf of Americans …

AFR Supports Reed Amendment #3958 to End Private Equity Exemption
May 12, 2010 – 11:31 am

United States Senate
Washington, DC 20510
Dear Senator,
We write on behalf of the over 250 member organizations of Americans for Financial Reform to urge a yes vote on the Reed-Johnson-Brown amendment offered to Restoring American Financial …