Former assistant labor secretary and architect of the regulation says its postponement could be vulnerable to court challenges.
Both bills exclude all but small investment advisory firms.
Rep ordered to pay $245,000 in fines and restitution; Legend Securities fined $200,000.
Finra says Sandy Galuppo submitted improper reimbursement requests.
Last-minute changes also include restoration of adoption credit and elimination of limits on interest deductions for car dealers.
Bipartisan lawmakers seek to expand the pool of people who qualify to invest in private securities offerings, boost the lending capability of BDCs and ease regulations on closed-end funds.
Some key differences from House bill include how mortgage deduction and estate taxes are treated.
The $75M agreement ends a years-long class-action trial.
More than 22% of its total adviser workforce is now certified by the wirehouse to act as a fiduciary for retirement plans.
Putting clients in expensive share classes instead of lower-cost ones hurts investors, chairman says.
The Trump administration review is prompting some retirement plan specialists to hold back on implementing parts of the rule that are vague or challenging.
The hedge fund paid a more than $1 million settlement to a woman who had a relationship with the top exec, according to Wall Street Journal report.
The House bill seeks to limit the 25% rate to manufacturers, but will still creates opportunities for strategic tax management.
A Heritage Foundation event was the latest in a flurry of high-level talks about the embattled SRO
Thrivent Financial for Lutherans argues the regulation's class-action provision violates its agreement with clients.
Provisions in the tax bill will affect advisers and their clients alike.
The new SEC chairman is confident he can up come with a rule better than that of the Department of Labor — one that satisfies brokers, investment advisers and investor advocates alike.
Compliance teams must rigorously vet the records of new advisers in order to limit the risks that come with consolidation-driven recruits.
Arbitrators rule that Morgan Stanley violated trade secrets by "maliciously and willfully" appropriating a Schwab client list.
While pre-tax 401(k) contribution limits are off the table (for now), the Republican tax bill nonetheless makes changes to retirement savings plans.
