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.
SEC’s Top Exam Priorities for 2015: Retirement Savers, Branch Offices
The regulator also will zero in on reps who offer "a variety" of fee arrangements.
White Promises ‘Clarity’ on Fiduciary
While SEC Chairwoman Mary Jo White said in mid-November that the agency had not yet decided “whether to do something or what to do” regarding a fiduciary rulemaking, White said she planned to provide “clarity” as to her position regarding a uniform fiduciary rule in the “short term.”
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.
Why NASAA Is Leading the Charge Against Elder Fraud
At least one-third of the enforcement actions initiated by state securities regulators involve senior investors, and NASAA is tackling the issue head on.
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.
10 States With Most Advisors Headquartered
Most investment advisory firms’ main offices are concentrated in relatively few states, with distribution likely driven by access to financial markets, population and net worth.
RIA Assets Jumped 12.6% in 2014: IAA/NRS Study
Regulatory assets held by advisors registered with the SEC increased by $6.9 trillion from last year, according to an analysis of filings.
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.
SEC User Fees Would Have Little Impact on Most Firms: Study
Vanguard, on the other hand, may have reason to call its lobbyists soon, according to an analysis by the compliance firm RIA in a Box.