Reps are willing to deal with the 'substantial costs' of a uniform fiduciary duty, says a SIFMA exec — provided the SEC gives clear guidance for compliance.
Gregg, Bentsen hired to lead securities industry group; want DOL to ditch fiduciary reform.
Earnings in months leading up to retirement date can be ignored.
Plan adviser Hutcheson facing 17 counts of wire fraud.
Informs some clients that they can keep investment options.
Advisers, regulators crying foul as insurers seek alterations.
A new SEC will soon be in place. That means SRO champion Elisse Walter will be gone — and with her, the push for a broker SRO.
Stein, Piwowar noted for reaching across party lines; 'working relationship'
Stein, Piwowar not prone to partisanship, observers say; plenty of big issues left hanging
Services to be offered to advisers but retail investors will get access eventually.
Can help bridge gap between advisers and clients' children.
Two pension funds accused the company of collecting “grossly excessive” compensation from securities-lending returns linked to iShares
New regulations for brokers who control their clients' cash will go a long way toward preventing another client rip-off like the Bernard Madoff Ponzi scheme, the SEC commissioner said.
Chairman says investor advocacy recommendations 'in my briefcase every day and every night.'
The SEC would gets its requested 33% budget increase, according to a bill approved by a Senate panel. But will both the House and the Senate sign off on the bump up?
