Status quo election offers slim chance for compromise on fiscal cliff, tax cuts and fiduciary standard, advisers say following the Obama victory
Industry groups ready to go to the mat over deductions and other incentives
The latest Brinker Barometer does not bode particularly well for President Obama.
The fate of a proposed regulation that could have a profound impact on investment advisers is resting on the results of tomorrow's presidential election.
The CFP Board's new sanction guidelines cover 40 types of misconduct
Finra and SEC to provide grace period on certain filings for firms located in areas hit by massive storm
Obama win would mean green light for DOL proposal; Romney, red
Uncertainty about the future weight of regulations making their way through the bureaucratic maze in Washington is harming the banks, their clients in corporate America and economic growth.
Mary Schapiro is widely expected to leave her post as head of the SEC. The latest sign: She has begun to talk about her legacy as chairman of the commission.
Finra has expelled a securities outfit for allegedly lying to — and defying — the SEC. One claim: the firm's CEO was barred from running the brokerage, but continued to do so anyway.
Former Presidential candidate taking over as CEO of financial services lobbying group
Muni adviser reform fast-tracked after committee consensus reached; possible blueprint for SRO proposal
In looking at the details, it's hard to figure why the financial services industry fought to kill Dodd-Frank.
From magical tax loopholes to protectionist dogma, the GOP
As the Financial Industry Regulatory Authority Inc. begins its sixth year of existence, the perception of its relationship to the market it oversees has taken on new importance. Its self-description as an “independent regulator” has drawn new scrutiny in recent months, after legislation that would establish one or more self-regulatory organizations for investment advisers was introduced in the House. Finra is lobbying fiercely on behalf of the bill and covets the role of the adviser SRO.
