House Panel Passes Cybersecurity Bills
The House Committee on Homeland Security passed three bipartisan cybersecurity-related bills late Monday.
Alexandra Lebenthal: Who Are You Calling a Socialite?
The Lebenthal Holdings CEO on her new wealth unit, how she bought back her iconic family name from Merrill and how she recruits female advisors.
Trade Groups Back Cybersecurity Info Sharing Bill
FSR, SIFMA say cybersecurity act strengthens private sector, government info sharing on cyber threats
Most Roth IRAs Born Through Contributions, Not Rollovers
A new ICI report compares Roth and traditional IRA holders on a wide range of data.
BrokerCheck Links in Twitter Profiles? No Way, BDs Tell FINRA
In comments on FINRA's revised plan to require links to BrokerCheck, rules on social media and other third-party sites draw particular ire from broker-dealer groups.
Economists Lower Growth Estimates Ahead of FOMC Meeting
SIFMA's Diane Swonk cites geopolitical risk and consumers stuck “shouldering the burden of growth” as headwinds.
DOL Fiduciary Rule in 2016?
It may be 2016 before a new rule is in effect, and even that’s a long shot, says Groom Law Group's Steve Saxon.
DOL to Delay Fiduciary Redraft Release Until January
Labor Secretary Perez told a Senate Appropriations subcommittee that the redrafting of the fiduciary proposal “has been slowed down at my direction significantly.”
Funds as SIFIs Would Be ‘Too Burdened to Succeed’: ICI Chief
“It would not take much of a "SIFI premium" to increase the fees of these funds significantly,” says ICI's Paul Schott Stevens.
FINRA’s ‘Total Warfare’ Against Brokers in Arbitration
Breakaway brokers and pros across the financial industry cite biased panelists, missing hearing records and a 93% win rate for brokerages.