What a GOP Senate Takeover Means for Dodd-Frank, CFPB, User Fees
AEI's Peter Wallison and others weigh in on what advisors can expect now that Republicans have dominated the midterms.
IAA’s Barr to Replace Tittsworth as President, CEO
Karen Barr will become the IAA's new president and CEO, replacing David Tittsworth, who has led the association since 1996.
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.
SEC User Fees the Answer to Exam Budget Crunch: Investor Advocate
SEC investor advocate Rick Fleming called on Congress to pass a user fees bill, saying investors faced “substantial risk” from unexamined advisors.
SEC Warned to Halt Money Market Fund Rule Release
Financial Services Roundtable tells SEC to deal with money fund rule's "tax consequences" before moving ahead.
House Bar on SEC Fiduciary Rule Likely DOA in Senate
It's “unlikely that the Senate will agree” to prohibit the SEC from making a uniform fiduciary rule, says IAA's David Tittsworth.
Rep. Bachus Backs Waters' User-Fees Bill
Rep. Spencer Bachus, R-Ala., agreed Thursday to co-sponsor a bill to allow the SEC to collect user fees to help boost advisor exams.
House Appropriations to Hold Wednesday Vote on SEC Budget
SEC Chairwoman White told lawmakers Obama's $1.7 billion budget would permit the SEC to increase advisor exams.
Advisory Industry Wants More Exams (and Will Pay for Them, Too)
On IAA's annual lobbying day, the industry has “a very unusual message" for Congress, TD Ameritrade's Skip Schweiss told ThinkAdvisor.
SEC Should Shift Existing Funding to Boost Advisor Exams, IAA Says
The advisor advocacy group is “concerned about the potential disadvantages" of third-party exams compared to SEC examinations, says President David Tittsworth.