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Americans more ready for retirement than ever
Compared to other nations, we have a substantial head start in building a sound, funded solution for the challenges of aging populations
Two SEC commissioners nominated
Democrat Lisa Fairfax and Republican Hester Peirce have academic backgrounds and sit on the agency's Investor Advisory Committee.
Managing the convergence of compliance and technology
A common thread across technology-driven breaches is the failure of firms to establish and enforce policies and procedures.
Mary Jo White’s record scrutinized by critics and supporters
As she enters what could be her last year as chairwoman of the SEC, experts grade Mary Jo White's performance.
Adviser running for Congress wants to protect Dodd-Frank reforms
Candidate says clients and constituents, virtually unfazed by recent market turbulence, need a level playing field for financial advice.
Mary Jo White has earned a B- as SEC chairwoman
Heading a huge, highly visible agency in the wake of a financial crisis results in ups and downs for Mary Jo White.
Here are the most sensational parts of Bill Gross’ suit against Pimco
From how much money the money manager's executives make, to jabs at former colleagues, the lawsuit is chock-full of internal intrigue.
Hillary Clinton’s plan to prevent stock market crashes
Breakfast with Benjamin The Democratic candidate proposes new fees for taking investment risks, because taking investment risks aren't risky enough already, or something like that.
Does Hillary Clinton want to protect the DOL fiduciary rule?
A letter to Democratic colleagues warns against riders attached to spending bills in upcoming budget negotiations.
SEC unable to lift temporary ban on in-house judges
Judge rules the agency did not meet the criteria for a stay and “has not demonstrated likely success” in its argument that the administrative law judge process is constitutional.
Finra creates task force to determine arbitration improvements
Over the last several years, the Financial Industry Regulatory Authority Inc. has undertaken initiatives to reform the investor…
Overstating AUM a sure way to get regulators knocking on your door
In one recent case, regulators charged an RIA's president, vice president and chief compliance officer. The firm is no longer in business.
SEC’s White: Fiduciary battle far from over
Chairwoman tells lawmakers agency will proceed at own pace, separate from DOL, on raising investment advice standards.
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.
