Firms Must Report CEO-to-Worker Pay Ratio Under New SEC Rule
The “controversial, contentious” rule garnered a whopping 287,400 comment letters, SEC Chairwoman White said.
Dodd and Frank on Dodd-Frank
“We did very difficult, politically hard things” in the Dodd-Frank Act, former Massachusetts Congressman Barney Frank said July 21 as the law that bears his name celebrated its fifth anniversary. “My head hurt.”
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.
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.’
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.