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SEC proposes to loosen rules for administrative proceedings
Amendments would answer some of the criticisms against use of in-house judges versus federal court.
What advisers should listen for in Tuesday’s Democratic presidential debate
DOL fiduciary rule, taxes and Social Security are all prime subjects for discussion as five contenders look for opportunities to stand out.
Government shutdown averted but Congress sets itself up for another showdown
Funding set until Dec. 11 but before then, lawmakers have to replenish federal highway funding and raise the debt limit.
Wagner bill to stop DOL fiduciary up for a vote this week
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.
If Obama holds firm, here’s what the DOL fiduciary rule will end up looking like
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.
DOL poised to advance final fiduciary rule
Politico reports the measure will move to the Office of Management and Budget by Jan. 31, setting the stage for finalization.
Legislation to replace DOL fiduciary could be tied to must-pass bill to keep government open
Lawmakers could write legislation within days — and attach it to a must-pass spending bill — that would replace the Labor Department's pending rule to raise investment advice standards for retirement accounts, effectively killing it.
Hedge fund marketers have independent advisers in their sights
Breakfast with Benjamin: Now that hedge funds have the green light to market their wares, they're zeroing in on independent advisers.
House Democrats seek changes to DOL fiduciary rule
Ten representatives send letter calling on the agency to fix problems with exemptions for compensation practices and investor education.
UBS hit with $2.5 million award in Puerto Rico case
Claim is tied to so-called “Whopper” broker Jose Gabriel Ramirez Jr., who faces raft of claims related to closed-end funds.
SEC cracks down on advisers’ access to clients’ outside accounts
As part of its focus on custody violations, the SEC is examining cases in which clients give advisers their usernames and passwords.
Senate avoids shutdown in last-ditch effort
Spending resolution expected to pass the House but will only fund the government through early December.
State regulators, Finra, SIFMA propose fee disclosure model for brokers
State regulators, Finra, SIFMA say their approach would clarify charges to investors, yet commissions and advisory fees are left out of the plan.
Increase SEC exams of RIAs
Regulatory exams should be just as frequent for advisers as they are for brokers.
SEC seeks to prevent damage from runs on mutual funds, ETFs
New liquidity rules would require mutual funds and ETFs to develop risk management programs and allow for 'swing pricing.'
Groups opposing DOL fiduciary rule step up lobbying spending
Proponents' dollars lag this year, with a focus on grass-roots action.
Should the Financial Planning Coalition support the DOL’s fiduciary proposal?
A two-sided debate about the FPC's stance on the proposed fiduciary rule.
SEC using ‘flawed metrics’ to report enforcement actions
A new study claims the SEC double counts some cases and loads up in September to boost fiscal year numbers.
Chamber calls on SEC to reform use of in-house judges
Group says enforcement needs clarity; among 28 recommendations to the agency.
B-D mulls its options after major arb award
Fintegra is working to come up with a plan to save the company as its net capital falls below regulatory requirements.
