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.
New SEC Committee to Put Retail Investors First
“Many individual investors feel like they are under siege,” SEC Commissioner Luis Aguilar said at the group's first meeting.
States Take a Hard Look at VAs
State regulators consider the classification of va