DOL’s Perez Makes Plea to Trump as NAFA Appeals Fiduciary Decision
In an exit memo, Perez said the next administration and Congress “must adequately fund DOL’s enforcement” of the fiduciary and overtime rules.
Reagan's Lesson for Trump: Listen to the Lawyers
Reagan learned that while it’s tempting to say yes to your boss, the most helpful answer is often the one he doesn’t want to hear.
Here's What's Going to Happen in 2017
Predictions from the Yale law professor and novelist on everything from the CFPB's legal challenges to bitcoin to the Affordable Care Act.
Trump, New Congress Must Cut Energy Regs: Oil Lobbyists
The American Petroleum Institute wants Trump and Congress to pare down in first 100 days federal rules that conflict with those imposed by the states.
Will Trump Choice for SEC Chief Stand Up for Investors?
SEC pick Jay Clayton is a "highly regarded" lawyer, but a pro-regulation group hopes he can move beyond his background representing big banks.
FINRA’s Top 5 Exam Priorities for 2017
Advisors and broker-dealers have just received a “cheat sheet” of sorts from FINRA.
Swaps Cop Massad Will Step Down, Letting Trump’s CFTC Take Shape
Regulator drew criticism for pushing rules as term neared end; move eases risk of panel’s Democrats outnumbering Republicans.
Trump to Pick Wall St. Lawyer as SEC Chief
The nomination of Jay Clayton positions a top lawyer to banks and hedge funds to lead Wall Street’s main regulator.
Selling Fiduciary: A Prototype for Independent RIAs
Dan Moisand's firm can teach the industry how to take the fiduciary standard to the next level.
5 Brokers Who Crossed FINRA in Q4
Advisors did everything from obtaining credit cards using fake names to lying under oath, regulator says.