Only 6% of 2,153 candidates who sat for the test in September exercised the option to take it from home
Former SEC, CFTC official puts mutual fund disclosure, ESG policy at top of agenda
'I think it’s going pretty well,' he said about the first four months since implementation
The looming election, social tension and economic factors are creating an atmosphere for prudence, he said
Amendments to reduce the size of the levy and set an expiration date likely to be considered
The group's lobbying effort must address states’ concerns about charging without delivering
The network of fee-for-service advisers will instead focus on state-level fiduciary advocacy
Top agency officials say staff members are finding compliance shortcomings in the disclosure document
The agency imposed sanctions totaling more than $4 billion and examined 15% of RIAs
While approved for public comment, Democratic commissioners voiced concerns over investor protections
