Legislation And Regulation

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  1. Articles

    SEC's White defends coverage of investment advisers

    Chairwoman says agency is considering augmenting adviser exams with third-party audits.

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    Senate set to approve national insurance-agent registry

    Though new board has wide support among state regulators, GOP senator cries foul over infringement of states' rights.

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    Will the SEC use its extra funding to strengthen adviser oversight?

    Now that it looks like the SEC will get an additional $150 million in funding, speculation is mounting on how the funds will be deployed. Is increasing adviser oversight going to be a priority?

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    Congress set to pass bill giving SEC a budget boost, leaving DOL fiduciary rule alone

    The bill preventing a government shutdown includes SEC funding hike and allowance to cut pensions. Left out is language that would have killed the DOL's fiduciary rule.

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    Money managers to redraw battle plans after SEC nixes batch of nontransparent ETFs

    In a preliminary decision, the Securities and Exchange Commission has rejected applications for nontransparent ETFs from BlackRock, Inc. and Precidian Investments, determining that the proposals are not in the public interest.

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    Financial planning clients not getting what they pay for: study

    Financial planning clients not getting what they pay for because of a lack of government-enforced professional standards, according to the study sponsor, the Financial Planning Coalition

  5. Articles

    GOP takeover of Senate could make fate of investment adviser issues unclear

    A Republican majority would likely boost the passage of GOP-favored bills, but not the consideration of industry concerns.

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    Accredited-investor definition revamp backed by SEC panel

    Agency's Investor Advisory Committee thinks current standard of income, wealth oversimplifies who should qualify to buy private offerings.

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    BrokerCheck needs a marketing effort

    It's time for Finra to get serious about making sure investors know BrokerCheck exists.

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    SEC commissioner Piwowar leans against fiduciary-duty rule

    SEC commissioner Piwowar leans against fiduciary-duty rule Republican indicates a preference for enhanced disclosure Sep 30, 2014 @ 4:17 pm + Zoom Michael Piwowar, member of the SEC Securities and Exchange Commission member Michael Piwowar indicated Tuesday he is leaning against a rule that would

  9. Articles

    Brokers charged by state securities officials see prison time rise

    Enforcement actions by NASAA members resulted in one-third-longer sentences last year over 2012.

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    FSI offers long-term disability, life insurance to members

    Program guarantees members coverage at a group rate FSI has secured as the plan sponsor.

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    An 'adviser' in name only

    Calling a broker an adviser is dangerous, and it's time to embrace the black-and-white distinction.

  12. Articles

    The secret Goldman Sachs tapes

    How one brave federal regulator got the goods on the New York Fed's hands-off policy toward Goldman.

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    LPL to weigh in on tax reform with new federal policy push

    Nicole Petrosino, LPL's new head of federal government relations, outlines the firm's agenda, including getting advisers in front of their own elected officials