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Human Capital

Highlights of the key people shaping the financial regulatory landscape, by Melanie Waddell, ThinkAdvisor's Washington Bureau Chief.

What's Next in Reg BI Compliance?

Human Capital: Ex-SEC Lawyer Lundy Warns of Sweep of Advisor PPP Loans

Rep. Brady: Dems’ New Stimulus Plan a ‘Recipe for a Prolonged Recession’

Lawmakers Scold SEC's Clayton Over Committees' Lack of Diversity

SEC's Avakian Details Next 12b-1 Fee Crackdown

Volcker Rule Changes: The Good, Bad and Ugly

An Annuity Alternative That Simplifies Retiree Payouts

Will Acting Labor Secretary Pizzella Greenlight a Fiduciary Rule?

Ed Slott: The Pros and Cons of Annuities in Retirement Plans

The Good, Bad and Ugly of SEC's Reg BI and Advice-Standards Package

Ex-SEC Commissioner Paredes Has an 'Appetite for Disruption'

Borzi: DOL Should Not Defer to SEC's Reg BI

DOL Fiduciary Redux Is a 'Sleeping Giant': Groom's Saxon

SEC's Stein Wants More Cyber Rules for Advisors, BDs

SEC Advice Standards Package Likely by First Half of 2019: Grim

Trump's Deregulatory Push So Far Amounts to 'Inaction': SEC Counsel

Death of DOL Fiduciary Rule Is a Boon to Investment Cos.: Study

Ric Edelman: Retirement Crisis Is 14 Years Away

David Grim, Ex-SEC IM Director, Discusses Long-Awaited ETF Rule

Breaking Down Treasury’s Fintech Report

'Raise Your Voice' Campaign Pushes for SEC Reg BI Changes

Ex-Treasury Official Touts the Promise of Fintech ‘Sandboxes’

FINRA Enforcement Units, Unite!

Tech Gurus Discuss the Future of Fintech

Talking Financial Data Portability With Digital Expert Rob Foregger

Scalia: DOL Fiduciary Rule Will Be Obliterated

Sen. Warren, Fed Chair Powell Tangle Over Wells Fargo Sanction

State Regulator Galvin Is Putting Teeth in DOL Fiduciary Rule

ThinkLeader

ThinkLeader podcasts feature leading financial insiders who provide in-depth insights on the inner workings of the financial advisory world.

SEC Assembles Team to Craft Fiduciary Rule

Former Obama Counsel Williams Joins Kirkland & Ellis Reg Practice

Jay Clayton — Wall Street's Top Cop: The 2017 IA 25

Senate Confirms Jay Clayton as SEC Chairman

SEC Accepting Comment on Inline XBRL Filing Requirements

ThinkLeader: Deep Dive — Norm Champ Digs Into New Book About SEC

3-2-1: ThinkLeader! Norm Champ, Ex-SEC Director of Investment Management

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Five Key Considerations in Choosing a Wealth Advisory Platform

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Planetary Boundaries: Measuring the Business World's Environmental Footprint

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