Several obstacles await lawmakers, including an ongoing health-care fight and deadlines to keep the government running, let alone divisions among Republicans on the basic parameters of a tax bill.
Advisers preparing new financial plans are flying blind when it comes to clients' health-care needs.
Finra may rethink its ban on class-action waivers in arbitration clauses, depending on whether the court sides with the Trump administration.
The rule is a blip for elite plan advisers, but there are a number of ways inexperienced advisers are reacting.
Certain firms may find themselves facing even greater competition as they focused more on compliance instead of strategy.
Some see the implementation as a watershed moment for these retirement plans.
But the agency does not protect a provision of the regulation that allows class-action lawsuits.
Academics encourage agencies to boost their digital exam tools now, before automated platforms get even bigger.
Broker-dealer self-regulator reports that fines increased to $173.8 million in 2016, up from $93.8 million in 2015.
Mr. Block last year pleaded not guilty to charges, including conspiracy and securities fraud, stemming from accounting at the REIT once controlled by Nicholas Schorsch.
Some believe the Connecticut law could be a springboard to reform among other states.
Agency sets 15-day deadline for input on delaying Jan. 1 applicability date and 30-day deadline for suggestions for substantive revisions.
Interest in fiduciary-related fintech previously cooled following the election of President Donald J. Trump.
Claimants asserted firm was negligent and breached its fiduciary duty.
Plaintiffs claim practice of charging plans a percentage of assets is unreasonable.
The plaintiff claims the company only offered one unaffiliated investment option during the class period, resulting in excessive fees for participants.
In separate appearances before Senate panels, the regulators stressed the cooperation that Republican legislators and opponents of the DOL fiduciary rule are demanding.
SEC chairman acknowledged that tighter budgets would require increased efficiencies to meet examination goals.
Other states could move in to plug the fiduciary gap if the DOL and SEC devise a watered-down standard.
An anti-retaliation provision in the 2010 Dodd-Frank law could insulate publicly traded companies from some whistle-blower lawsuits.
