More than half of respondents to <i>InvestmentNews</i> poll say their confidence has dropped since start of term. Supporters give him partial credit for market uptick.
Lawmaker says higher top income-tax rate may be acceptable, if coupled with other changes benefiting corporations.
Anthony Vincent Ferrone refused to provide complete testimony at Finra hearing
Chief regulator is confident two agencies could reach 'common ground' on an investment advice standard across all accounts.
Ms. Schroeder had been serving as head of enforcement since the departure of Brad Bennett earlier this year.
Finra panel says Wyoming couple lost right to receive monthly benefits.
Michigan Democrat resists ripping up DOL fiduciary rule but would be open to some changes.
Information includes names, Social Security numbers of tens of thousands of wealthy clients.
ICI, Chamber of Commerce among groups asking for delay, while Democratic lawmakers call on DOL to keep to its earlier planned schedule of Jan. 1, 2018.
Principal has communicated that independent agents must change their business models to keep receiving compensation.
Regulators must learn new techniques and skills to examine robo-advisers for their adherence to the fiduciary standard.
The proposed standards enhance the value of certification by establishing clear standards for the delivery of financial advice.
Scaramucci is known as an ardent foe of the DOL fiduciary rule, having said during the campaign that Trump would repeal it .
Retirement expert Alicia Munnell talks about the options for mending the 82-year-old safety net.
Reduction in compensation begs question of whether rule is being twisted to bolster broker-dealers' bottom lines.
Measure likely to continue in partisan advance in House, but could stall in Senate.
Board advances proposals to amend membership applications to allow the regulator to scrutinize troubled brokers, pending monetary awards.
Dick P. Wollman was fired by Horace Mann Securities for failing to disclose his indictment and barred for not cooperating with Finra's investigation into his termination.
Chairman and CEO of the bank that contains Merrill Lynch says the DOL regulation is part of a larger trend in financial services.
