SEC Provides Relief to Advisors, BDs From European MiFID II Rules
The action reduces “the substantial uncertainty our members have lived under as they have tried to plan for implementation of MiFID II," said IAA's Barr.
Trump Names New EBSA Chief as Wagner Bill Gets House Panel Nod
Activity surrounding the Labor Department's fiduciary rule continues unabated.
Take Three: Borg's Back as NASAA Chief
Longtime Alabama Securities Commission Director Joe Borg is back as president of NASAA — his third time filling the seat.
Treasury Backs DOL Fiduciary Rule Delay
A just-released Treasury report also calls for more annuity access in 401(k) plans and a "plain vanilla" ETF rule from the SEC.
Former Chief of Staff to SEC's White Joins Shearman & Sterling
Former SEC IM director Buddy Donohue is now counsel in the firm's Investment Funds practice in New York.
New SEC Task Force to Use Data to Root Out Advisor Fraud
The task force will use data analytics to spot misconduct like mutual fund share class and wrap-fee account abuse.
SEC Names Driscoll Head of Exam Unit
Pete Driscoll has been serving as acting director since Marc Wyatt left in January.
Morningstar Launches Best-Interest Tool to Help Advisors Explain Rollovers
The Best Interest Scorecard is intended to help advisors explain portfolio and service offerings.
FINRA Regulatory Chief Axelrod to Depart
After 28 years at FINRA and its predecessor, Susan Axelrod will step down.
Rep. Wagner Brings Back Taxpayer ID Theft Protection Act
Bill would allow anyone an IP PIN, which provides taxpayers another level of security, Wagner said.