Ketchum’s Big SRO Omission
Richard Ketchum, CEO of FINRA, omitted a crucial detail in a recent interview he gave.
TD’s Schweiss Keeps Tabs on Hot-Button Regulatory Issues
Far from “dying on the vine,” the SEC fiduciary issue will remain in play, TD's Skip Schweiss says.
FINRA Shifts SRO Fight to Senate, as House Effort Falters
With the House unlikely to pursue an SRO bill this year, FINRA has set its sights on the Senate to push a bill that would give FINRA the authority to become the SRO for advisors.
Polarization has become a pervasive and much-noted feature of American politics.
Will the DOL Finally Show that Fiduciary Advice Is Better Business?
Cornerstone of new proposal is expected to be “substantial economic analysis.”
The Jaws of Defeat
Taking time out over the holidays to reflect on the past year has become one of my favorite exercises.
Schwab’s Bettinger and Clark Address the Present and Future
The last time Walt Bettinger sat down for an interview with Investment Advisor during a Schwab Impact conference, it was 2008 and the financial crisis was front and center.
Three Washington Heavyweights to Drive Advisor Agenda in ’13
Three key Washington heavyweights will have a crucial role in advisors’ lives next year: Elisse Walter, the new SEC chairman; Rep. Jeb Hensarling, the incoming House Financial Services chairman; and Phyllis Borzi, at the DOL’s EBSA.
Hensarling Elected House Financial Services Chairman
As expected, Rep. Jeb Hensarling, R-Texas, was elected Chairman of the House Financial Services Committee and will take over the reins in January from Rep. Spencer Bachus, R-Ala.
To Thwart SRO Bill, Coalition Is Pressing for Senate User Fees Bill
Nystrom of NAPFA: the Financial Planning Coalition is 'seeing where our strengths are' in the Senate to ensure a user fees bill gets introduced in 2013.