CFPs Can Now Earn CE Credits Under IRS Tax Prep Programs
Credits can be earned for the Volunteer Income Tax Assistance or Tax Counseling for the Elderly program.
Jay Clayton — Wall Street's Top Cop: The 2017 IA 25
Groups press the new SEC chief to prioritize a fiduciary rule; appointing staff will be among his top tasks.
NAFA Launches Campaign to Stop DOL Fiduciary Rule
"NAFA is pulling out all the stops to try to prevent any part of this rule going live on June 9," says the group's director.
Lawmakers Push Bill Allowing Student Debt to Be Discharged in Bankruptcy
The bipartisan bill changes federal bankruptcy rules to establish parity between student loan debt and other debt.
ICI Calls on SEC to Move on Best Interest Standard
At annual meeting, President and CEO Paul Schott Stevens also pressed the new SEC to move ahead with online prospectuses and a new derivatives rule.
FINRA Mulls Heightened Oversight of High-Risk Brokers
At its May 10 meeting, the board also plans to consider issuing more guidance on unpaid arb awards.
SEC, FINRA to Host BD Compliance Outreach Symposium
Topics range from cybersecurity to investing by seniors.
FINRA Safe Harbor Doesn’t Save Barclays From Big SEC Fine
The agency is breaking new legal ground in the action against Barclays over two brokers who charged excessive markups, Cipperman Compliance Services says.
Bill to Replace Dodd-Frank, Kill DOL Fiduciary Rule Passes House Panel
After three days of raucous debate, the Financial Choice Act passed the House Financial Services Committee by a 34-26 vote.
R. Alexander Acosta — Fiduciary Foreman: The 2017 IA 25
The new Labor secretary could lead the unwinding, and potentially killing, of Labor’s fiduciary rule, which was six years in the making.