New FINRA Broker Bonus Rule Out ‘Fairly Soon’: Ketchum
The FINRA CEO also told ThinkAdvisor at a SIFMA conference that "CARDS as it exists now is unlikely to move forward."
SEC Commissioners Rail Against Oppenheimer & Co. Waiver
SEC waiver throws away "valuable enforcement tools" and adopts a policy of "too-big-to-bar," says Rep. Maxine Waters.
SEC Would Hire 431 Under Obama’s 2016 Budget
The new hires would come in addition to the 105 examiners the SEC plans to hire in fiscal 2015.
Is There Really an Advisor Exam Problem?
Head scratching continues over what to do about boosting SEC advisor exams — or whether the supposed deficiency is just a political football.
After Obama Address, Battle Lines Are Drawn in Congress
Industry trade groups and lawmakers were quick to weigh in with praise and criticism of issues raised in President Obama's mid-January State of the Union address, namely cybersecurity, the Dodd-Frank financial reform law, taxes and entitlement reform.
Key Congressional Committees Get New Leaders
The start of the new GOP-controlled Congress brings with it new faces to key congressional committees that hold sway over a variety of issues impacting advisors.
Obama’s State of the Union Financial Proposals Draw Praise, Criticism
Industry trade groups and lawmakers were quick to weigh in on Obama's plans, or lack thereof, on cybersecurity, Dodd-Frank, taxes and entitlement reform.
GOP Thwarts Rep. Waters’ Effort to Add User-Fees Bill to Dodd-Frank Package
GOP lawmakers blocked the user-fees bill aimed for the Dodd-Frank rollback package that passed the House on Wednesday.
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.