What to expect on the regulatory front in 2018

Senior reporter Mark Schoeff Jr. speaks with IAA president and chief executive Karen Barr about what's to come now that the SEC has a full commission, including how the agency might progress on its fiduciary rule

Jan 2, 2018 @ 12:15 pm

By Mark Schoeff Jr.

The Securities and Exchange Commission enters 2018 with five members for the first time in more than two years. Now at full strength, the agency should be able to better pursue Chairman Jay Clayton's agenda, according to Karen Barr, president and chief executive of the Investment Adviser Association.

In this podcast, Ms. Barr also talks about the likely direction of the SEC's and Labor Department's efforts on a fiduciary rule for investment advice.

She also assesses how Washington handled one of its most tumultuous years in recent memory, and how the politics of 2018 may influence legislation and regulations affecting advisers.

0
Comments

What do you think?

View comments

Recommended for you

Sponsored financial news

Featured video

INTV

When can advisers expect an SEC fiduciary rule proposal and other regs this year?

Managing editor Christina Nelson and senior reporter Mark Schoeff Jr. discuss regulations of consequence to financial advisers in 2018, and their likely timing.

Recommended Video

Path to growth

Latest news & opinion

Bond investors have more to worry about than a government shutdown

Inflation worries, international rates pushing Treasuries yields higher.

State measures to prevent elder financial abuse gaining steam

A growing number of states are looking to pass rules preventing exploitation of seniors.

Morgan Stanley reports a loss of advisers after exiting the protocol for broker recruiting

The firm said it lost 47 brokers in the fourth quarter, the most in any quarter of 2017.

Morgan Stanley's wealth management fees climb to all-time high

Improvement reflect firm's shift of more clients into fee-based accounts priced on asset levels, which boosts results as markets rise.

Legislation would make it harder for investors to sue mutual funds over high fees

A plaintiff would have to state in their initial complaint why fiduciary duty was breached, and then prove the violation with 'clear and convincing evidence.'

X

Hi! Glad you're here and we hope you like all the great work we do here at InvestmentNews. But what we do is expensive and is funded in part by our sponsors. So won't you show our sponsors a little love by whitelisting investmentnews.com? It'll help us continue to serve you.

Yes, show me how to whitelist investmentnews.com

Ad blocker detected. Please whitelist us or give premium a try.

X

Subscribe and Save 60%

Premium Access
Print + Digital

Learn more
Subscribe to Print