NASAA Adopts Model Succession Plan Rules
The rules are meant to be a roadmap for states. The SEC is developing its own succession planning rules for RIAs.
Senate Democrats Push Back on DOL Fiduciary Plan
The Obama administration plan to tighten rules on brokers is facing blowback from the president’s own party.
SEC Panel: 2 Big Problems With Advisor Background Checks
Investors don’t check advisor and rep backgrounds, and the data itself can be problematic.
SEC Chief: Fiduciary, Third-Party Audit Rules to Advance This Year
SEC will discuss making rules this year on third-party advisor audits and a uniform fiduciary standard, SEC chief Mary Jo White said.
SEC Reviewing 12b-1 Fees
The SEC is reviewing the entire spectrum of 12b-1 fees, the deputy exam director said Tuesday.
SEC Exam Chief Bowden to Exit
The OCIE head, Andrew Bowden, will return to the private sector.
Why the SEC Doesn't Need to Regulate Succession Planning
Just when you thought there wasn't one more rule that the SEC could impose on advisory firms, here comes another.
SEC's White Supports Fiduciary Rule for Brokers, Third-Party Audits
While many in the industry are applauding SEC Chairwoman Mary Jo White's declaration that she will push to ensure the agency extends a fiduciary rule for brokers, concerns remain that such a rule will be a long time in the making.
IRI: VA Summary Prospectus Rule From SEC May Finally Be Coming
IRI, the annuity trade group, also sees the DOL's fiduciary plan advancing in early April.
SEC Chair Wants Activist Fights to Be Nicer
M&A lawyers and bankers want to know what the SEC is going to do about various activist fights. Chairwoman White's speech offers a few clues.