SEC Names Norberg Whistleblower Office Chief
Jane Norberg was named as the new chief for the SEC's Office of the Whistleblower, which she helped set up in 2011.
Bill to Kill Dodd-Frank, DOL Rule May Get Vote After Election: Hensarling
At SIFMA conference, House Financial Services chair says Donald Trump supports CHOICE Act, which would also kill DOL’s fiduciary rule.
SEC Advancing Third-Party Exam, Fiduciary Rule Plans
SEC chief White said agency is looking at staff recommendations on a rule to require “independent compliance reviews.”
Andy Friedman: Is Clinton or Trump Better for Economy?
The economic impact of a Clinton or Trump presidency are weighed by Andy Friedman of Washington Update.
Ex-New York Governor, Music Producer Caught in SEC Action
Three executives were charged with defrauding investors in a purported project to construct the largest movie studio in North America.
‘Hit Pause’ on DOL Fiduciary Rule, Insurer’s Lawyers Urge Federal Judge
Lawyers representing insurer Market Synergy told a Kansas judge that DOL failed to prove that state-based regulation of fixed-indexed annuities is broken.
‘Obscene Cuts’ to Medicaid Would Impact LTC: Sen. Casey
At Genworth LTC symposium, experts say both private and public sector products are needed for effective LTC solutions.
CFP Board’s Online Forum for Test Takers Gains Big Following
The CFP Board has created an online forum to give candidates pursuing their CFP marks a chance to interact with other test takers.
FINRA Fines, Suspends Avenir Financial Group, Bars Former CEO
FINRA fined Avenir $229,000 and took action against its former CEO for misconduct including fraudulent sales.
fi360 Launches DOL Fiduciary Training Program
Fiduciary Essentials for Advisors is divided into five modules covering DOL fiduciary rules and fi360’s fiduciary best practices.