Views on improving the integrity of global capital markets

Linda Rittenhouse, JD

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53 Posts

Biography

Linda Rittenhouse, JD, is a director of capital markets policy at CFA Institute. She focuses primarily on issues related to investment products and investment regulation. Rittenhouse holds a JD degree.

Author's Posts
Fiduciary Duty Takes a Step Back: Industry Reacts to Death of DOL Rule

After the US Court of Appeals for the Fifth Circuit vacate the fiduciary standard, the brokerage industry lost no time in rolling back some of its policies specifically adopted in response to that rule.

SEC Proposes to Restrict Broker/Dealer Use of “Adviser” Title

If the SEC adopts a rule as proposed, broker/dealers will no longer be able to use the term “adviser” or “advisor” in their names or titles when marketing themselves to investors.

SEC Proposes New Conduct Rule for Broker/Dealers Offering Advice

As the US Department of Labor prepares to let its fiduciary duty rule die, the SEC recently proposed a new standard of conduct rule for broker/dealers who provide recommendations with respect to securities transactions, including investment strategies. Rejecting… READ MORE ›

Fiduciary Duty — CFA Institute Issues a Call for Action by SEC

CFA Institute urges three approaches that will clarify that only registered investment advisers can provide personalized investment advice, as well as clarify the role of broker-dealers.

No Third-Party Exams for Investment Advisers

The SEC does not intend to pursue the use of third-party examiners to conduct their investment adviser examinations.

The Makings of a Financial Crisis

Four tools may frame the analysis required to evaluate the likelihood of an impending crisis and that may provide us with a heads up before a financial crisis occurs.

US Treasury Report on Asset Management Affirms Position of CFA Institute

The asset management industry does not pose the same types of systemic risks to the economy as the banking industry does, and the US Treasury agrees.

DOL Extends Compliance Dates for Fiduciary Rule (Again!)

The timeline for when all investors can expect their best interest to be honored just got longer with another delay in the applicability of the DOL’s fiduciary rule.

DOL Ruling Simplifies Compliance with Fiduciary Rule, But Still Protects Investors

The DOL provide some clarity to the investment industry about its obligations while providing protection to retirement investors through a best interest standard. Categories: Fiduciary Duty

What Will it Mean for Investors if the DOL Rescinds its Fiduciary Rule?

Trump administration delays implementation of new fiduciary rule to review potential effect on investors’ access to retirement information and financial advice

DOL Fiduciary Rule: What the Proposed Delay Means for its Future

CFA Institute responds to the DOL’s request for comment on whether it should delay implementation of its fiduciary rule.

Future of the Global Economy? Experts at Investing Conference Say “Wait and See”

No one really knows at this point what impact President-elect Trump or the cabinet that he puts together will have on the global economy, capital markets, or financial industry.

DOL Fiduciary Rule — What’s Happening Now and Its Possible Future

The future of the DOL rule is somewhat uncertain, but the changes probably won’t happen fast and the rule may actually already be established. Categories: Fiduciary Duty; Standards, Ethics, and Regulations (SER)

Asset Management Industry: Systemically Risky or Business as Usual?

The Financial Stability Board believes there are structural vulnerabilities in asset management activities that need to be addressed even though the industry is different from other financial sectors.

Regulation in the United States: Too Much, Too Little, or Just Right?

CFA Institute survey results reveal that more than 50% of members who responded believe there is too much regulation in the US financial markets.



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