Results for "Mark Schoeff Jr."

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Democratic senators want Finra to weigh in on SEC advice rule

July 20, 2018

Three Democratic senators are pushing Finra to weigh in on the Securities and Exchange Commission's investment advice reform proposal and explain whether the measure will strengthen broker requirements. Sens. Elizabeth Warren, Mass., Cory Booker,...

Behind closed doors: The big problem with how the SEC is getting insights from investors

July 19, 2018

Usually when I receive a news release about an upcoming event on my beat that's occurring at at the Securities and Exchange Commission, I put it on my coverage calendar and just show up. Something moved me to register for the recent investor...

New York issues final best-interest regulation for annuity, life insurance sales

July 18, 2018

New York issued a final regulation Wednesday that would raise the standard of care for sales of life insurance and annuities. The measure would require insurers to establish policies and procedures that ensure agents and brokers put the interests...

Bills to reform adviser regulation, increase sophisticated investors and protect seniors pass House

July 17, 2018

The House of Representatives gave overwhelming bipartisan approval Tuesday to legislation that included bills to reform investment adviser regulation, expand the pool of sophisticated investors and protect senior investors. The measures were...

Advisers applaud House bills to expand health savings accounts

July 16, 2018

Investment advisers applauded legislation recently passed by a House committee to expand health savings accounts, but the measures face a difficult road ahead. Last week, the House Ways and Means Committee approved a roster of bills designed...

803 small broker-dealers push for legislation to ease audits

July 13, 2018

Hundreds of small broker-dealers are urging lawmakers to support legislation that would ease their annual auditing costs. In a July 9 letter to House Financial Services Committee chairman Jeb Hensarling, R-Tex., and ranking member Maxine Waters,...

State-level activity slows on fiduciary legislation

July 12, 2018

Legislation in the New York Assembly that would have required disclosures by non-fiduciary financial advisers died without a floor vote, but its sponsor was encouraged by its progress and will push the measure again next year. Similar bills...

House panel approves bills to adjust regulations for small RIAs, protect senior investors

July 11, 2018

The House Financial Services Committee approved a bill Wednesday that could adjust regulations to better fit small investment advisory firms The panel also approved a measure that would require the Securities and Exchange Commission to establish...

Bill could ease regulatory burden on small investment advisory firms

July 10, 2018

Federal legislation poised for consideration by a House committee on Wednesday could reduce regulatory costs for smaller investment advisory firms. Under the bill, written by Rep. Gwen Moore, D-Wisc., the Securities and Exchange Commission would...

Supreme Court nominee Brett Kavanaugh voted to strike down 'Merrill Rule'

July 10, 2018

A federal judge nominated by President Donald J. Trump on Monday to fill a Supreme Court vacancy once cast a deciding vote in a case crucial to the evolution of investment advice standards. Judge Brett M. Kavanaugh of the U.S. Circuit Court...

Even after SEC's additional guidance, custody remains complicated rule for investment advisers

July 6, 2018

Recent guidance from the Securities and Exchange Commission about investment advisers' custody of client funds cleared up one aspect of the regulation but didn't go far enough to illuminate the complicated rule, according to compliance experts....

Finra set to strengthen background checks for new registered rep hires

July 5, 2018

Finra will soon step up its background checks on newly hired brokers. Beginning Monday, the regulator will conduct a review of public financial records within 15 days of a brokerage submitting a registration application, known as a Form U4....

Better Markets blasts Finra's proposal to strengthen supervision of high-risk brokers as too weak

July 3, 2018

Better Markets, a group that promotes financial reform, blasted Finra's proposals to crack down on firms that employ high-risk brokers, calling them too weak. In an April 30 regulatory notice, the Financial Industry Regulatory Authority Inc....

What Finra executives get paid

July 2, 2018

Correction: An earlier version of this slideshow incorrectly stated that the information on the slides represented 2017 earnings for Finra executives. The information represents 2018 compensation. Three Finra executives made more than $1 million...

Piwowar: Comments will be critical in shaping SEC advice rule

June 29, 2018

Securities and Exchange Commission member Michael Piwowar said Friday that public comments will be crucial in shaping the agency's reform of investment advice standards. In April, the SEC released a package of proposals designed to raise client-care...

Finra gives first report on where it spent money collected from fines

June 29, 2018

The Financial Industry Regulatory Authority Inc. has routinely been criticized for not telling members what it does with all the money it collects in fines. So this year, it decided to come clean. In its first report on fine money, Finra said...

Organizations launch campaign to get investment advisers to comment on SEC advice rule

June 28, 2018

Several organizations that promote a fiduciary standard launched a campaign Thursday to encourage investment advisers to tell the Securities and Exchange Commission how advisers are different from brokers. The goal is to generate comment letters...

Jim Nagengast, Securities America CEO, wins Finra board seat

June 28, 2018

Jim Nagengast, chief executive of Securities America Financial Corp., won a seat on the Finra board in a special election Thursday. Mr. Nagengast will fill one of the three seats on the Financial Industry Regulatory Authority Inc. board that...

Unpaid arbitration awards bill by Sen. Elizabeth Warren criticized at hearing

June 28, 2018

Legislation that would provide a remedy for unpaid securities arbitration claims was criticized at a Senate Banking Committee hearing Thursday. Written by Sen. Elizabeth Warren, D-Mass., the legislation would require the Financial Industry Regulatory...

Missouri lawmaker says don't worry, law won't curb use of CFP designation

June 27, 2018

A Missouri state lawmaker is trying to reassure certified financial planners that a bill recently signed into law won't curb use of the CFP credential. Rep. Derek Grier, a Republican member of the Missouri House of Representatives, was the author...

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