6 Areas of Regulatory Focus From a Former FINRA Exec
What do “Birdman” and broker-dealers have in common?
SEC Budget Boost Not Enough for Advisor Exams: Investor Advocate
In report to Congress, Investor Advocate Fleming also said "reverse churning" of clients in wrap fee accounts needed to be aggressively policed.
The SEC Is Broken
A decades-old law and the origin of new commissioners stymies consensus building and rulemaking at the Securities and Exchange Commission.
What's Next for the Fiduciary Standard?
While the industry awaits a decision by the SEC on whether it will move forward with a uniform fiduciary rule for brokers and advisors, fiduciary advocates will engage this month in a debate about the importance of the two fiduciary rulemakings being considered by the SEC and the DOL.
Industry Gears Up for Fiduciary September
Advisors are beginning to think that if regulators won't move forward on fiduciary rules, maybe the profession should, TD Ameritrade's Skip Schweiss tells ThinkAdvisor.
Dodd-Frank: Four Years Later
As the fourth anniversary of the Dodd-Frank Act's passage into law hit in late July, regulators and lawmakers aired their opinions about how the financial reform law is working—or not.
Barney Frank Cheers FSOC for Role in Money Market Fund Overhaul
Before a House committee, Barney Frank commented on several controversial aspects of his namesake financial reform law, including one that makes him "nervous."
SEC on a Dodd-Frank ‘Death March’: Gallagher
The SEC has been on a “death march” to finish Dodd-Frank rulemakings unrelated to its core mission, SEC Commissioner Gallagher said Wednesday.
20 Best Ways to Fix Dodd-Frank Act
Former Sen. Chris Dodd says his namesake financial reform law is "working pretty well." But the Bipartisan Policy Center sees room for improvement.
Garrett Brings NY Fed Into FSOC Issues
Rep. Scott Garrett is demanding that the New York Fed share with him any information it provides to the FSOC on nonbank SIFI designations.