Robert Cook — BD Regulator in Chief: The 2017 IA 25
While FINRA “stands ready” to fill advisor exam gap, Cook is unlikely to initiate a new battle for advisor oversight, says an ex-FINRA enforcement chief.
Crunch Time: New Standards Will Define the Future of CFPs
I’m beginning to hear rumors that the CFP Board Commission on Standards may soon release its recommendations and open them up for public comment.
Insurance Groups Launch Anti-Fiduciary Ads
Groups are taking to print and digital ads to voice their opinions that the rule should be stopped in its tracks.
Barclays Capital Slammed With $97M Fine for Overcharging Clients
The firm improperly charged certain advisory clients almost $50 million in advisory fees, the SEC says.
ACA Taxes Aren't Necessarily Going Away: GOP Senators
Orrin Hatch says what stays and what goes has to be negotiated.
SEC’s Piwowar Warns About ‘SAFE’ Crowdfunding Instrument
"Despite its name, a so-called SAFE is neither ‘simple’ nor ‘safe,’” SEC Commissioner Michael Piwowar says of simple agreements for future equity.
SEC Fines Former Staffer for Ethics Violations
David R. Humphrey concealed personal trading from SEC’s ethics office and misrepresented his trading activities, the agency says.
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.