Compared to other nations, we have a substantial head start in building a sound, funded solution for the challenges of aging populations
Democrat Lisa Fairfax and Republican Hester Peirce have academic backgrounds and sit on the agency's Investor Advisory Committee.
A common thread across technology-driven breaches is the failure of firms to establish and enforce policies and procedures.
As she enters what could be her last year as chairwoman of the SEC, experts grade Mary Jo White's performance.
Candidate says clients and constituents, virtually unfazed by recent market turbulence, need a level playing field for financial advice.
Heading a huge, highly visible agency in the wake of a financial crisis results in ups and downs for Mary Jo White.
From how much money the money manager's executives make, to jabs at former colleagues, the lawsuit is chock-full of internal intrigue.
<i>Breakfast with Benjamin</i> The Democratic candidate proposes new fees for taking investment risks, because taking investment risks aren't risky enough already, or something like that.
A letter to Democratic colleagues warns against riders attached to spending bills in upcoming budget negotiations.
Judge rules the agency did not meet the criteria for a stay and “has not demonstrated likely success” in its argument that the administrative law judge process is constitutional.
In one recent case, regulators charged an RIA's president, vice president and chief compliance officer. The firm is no longer in business.
Chairwoman tells lawmakers agency will proceed at own pace, separate from DOL, on raising investment advice standards.
Amendments would answer some of the criticisms against use of in-house judges versus federal court.
DOL fiduciary rule, taxes and Social Security are all prime subjects for discussion as five contenders look for opportunities to stand out.
Funding set until Dec. 11 but before then, lawmakers have to replenish federal highway funding and raise the debt limit.
A House committee will take up the measure Wednesday, but Rep. Ann Wagner says it isn't clear when it would come before the full House and how much bipartisan support it would garner.
Expect language that would brighten the line between education and advice, and expand the list of permissible assets for retirement plans, to name a few.
Politico reports the measure will move to the Office of Management and Budget by Jan. 31, setting the stage for finalization.
Lawmakers could write legislation within days &mdash; and attach it to a must-pass spending bill &mdash; that would replace the Labor Department's pending rule to raise investment advice standards for retirement accounts, effectively killing it.
