Republicans Get Tough With SEC Over User Fees
Industry trade groups remain steadfast in their bid to secure more backers of a bipartisan user-fees bill.
In Broker Harmonization Debate, the SEC Is the Real Problem
The current debate over the regulation of brokers and investment advisors has been raging for almost four years now, ever since President Obama signed the Dodd-Frank Act into law back in 2010.
‘Faulty’ Analysis Could Torpedo an SEC Fiduciary Rule: Advocates
SEC’s analysis on a fiduciary rule must be “thorough and well-reasoned,” as a “faulty analysis could doom or further delay” prospects for reform.
More CFPs Needed but Board ‘Won’t Lower Standards’: CFP Board’s Keller
Board will foster growth partly through corporate partners and needs to “get its arms around” the robo-advisor trend, CEO Kevin Keller says.
Could FPA’s Waning Power Lead to Its Untimely Demise?
Its membership has shrunk even as the number of CFP certificants has risen. The FPA is at a crossroads.
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.
Third of Clients Say They Didn’t Get Adequate Financial Planning Services
New research from the Financial Planning Coalition shows a lack of appropriate regulatory standards for those who say they are “financial planners.”
FPA Steps Up Lobbying Game With First ‘Advocacy Day’
FPA is pushing for a user-fees bill and trying to "establish relationships" with lawmakers.
The Latest, Most Outrageous Attempt to Neuter Dodd-Frank
When you look at its provisions and assumptions, you've got to wonder how SIFMA got Rep. Wagner to get HR 2374 passed by the House.
Bill to Kill Fiduciary Rules by SEC, DOL Heads for House Vote
The Retail Investor Protection Act may even pass the Senate, said an industry official, “especially if it gets strong bipartisan support in the House.”