Senate Passes TRIA; National Insurance Licensing Hub Closer to Reality
“One-stop insurance licensing across state lines will soon be a reality,” says IRI's Weatherford.
House Dems Defeat GOP Dodd-Frank Rollback Efforts
The House was set to consider an 11-bill legislative package, the Promoting Job Creation and Reducing Small Business Burdens Act.
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.
Gridlock Likely in New Congress as Fiduciary Regs Hang in Balance
The list of regulations and legislation that the advisory industry will be watching — and lobbying to influence — in the new year is long.
SEC Chief White Pushes Back on Advisor Audits
White tells Financial Services Committee that a reallocation of resources from BD coverage to advisors would ‘not be advisable.’
Lawmakers Push Vote on Spending Bill; SEC Funding Boosted
Lawmakers avert shutdown with a deal late Tuesday, but critics call it a “stealth attack on financial reform.”
GOP Blasts User Fees Plan, Tells SEC to Boost Exams Now
Reps. Hensarling and Garrett give SEC Chairwoman White a Dec. 5 deadline to detail how agency will reallocate resources.
New Hire Roundup: John Mendez Nominated to Be SIPC Chairman
In another personnel move, Craig Anzlovar has joined Pioneer Investments as fixed income client portfolio manager.
DOL to Hold January Hearing on Credit Suisse’s Retirement Plan Manager Status
DOL to hold public hearing to discuss QPAM status after Credit Suisse pleaded guilty to tax fraud.
Lobbyists Gear Up to Prod New Congress on User Fees, Retirement, Cybersecurity
The IAA, for one, sees an opportunity to gain Republican support for an SEC user-fees bill.