FINRA Creates Investor Issues Committee
The committee will advise senior FINRA staffers on proposed rulemaking and policy initiatives. Barbara Roper is one member.
The State of Fiduciary After 1,640 Days: Time for a Reset?
Fiduciaries need to apply our risk analysis skills to what could be the most important regulatory action in decades: the SEC's fiduciary rulemaking.
SEC’s Aguilar Laments Slow Adoption of Reg D Protections
"Investors face greater harm" every day the SEC fails to adopt these proposals, Commissioner Luis Aguilar said.
DOL to Be First Mover on Fiduciary, Industry Watchers Say
DOL’s rule will be a “stronger rule,” and it will “bolster” the SEC’s rule, an AARP lobbyist told ThinkAdvisor.
SEC Tags Fiduciary as 'Long-Term' Action; Advocates Unfazed
The fact that a fiduciary rulemaking is on the SEC’s agenda at all "suggests to me that we are moving closer," says CFA's Barbara Roper.
Will the SEC Create Two Kinds of Fiduciaries?
The debate rages on about what Dodd-Frank said the SEC could — or could not — do in writing a fiduciary rule for brokers.
SEC Investor Advisory Committee Approves Fiduciary, User-Fee Plans
Recommendation on how brokers should be put under a fiduciary mandate sailed through the full committee Friday, but members voiced concern about user-fee plan.
SEC Investor Advisory Committee to Vote Friday on Fiduciary Plan
SIFMA director Kevin Carroll says some of the recommendations of Barbara Roper's investor committee are "incongruous" with Dodd-Frank's intent.
SEC Fiduciary Rule ‘Major Focus’
Securities and Exchange Commission Chairwoman Mary Jo White said in early October that developing a fiduciary duty rule for brokers remains a “major focus of our efforts.”
SEC’s White: Fiduciary Rule Remains ‘Major Focus’
White’s comment comes as SEC investor advisory subcommittee attempts to "shape the form" of fiduciary rulemaking.