The head of the Securities and Exchange Commission played coy again on Tuesday when outlining a timeframe the industry can expect the regulator’s uniform fiduciary standard, saying that the staff was moving forward “expeditiously...
Minorities and women remain underrepresented at agencies that regulate the financial services industry, including at the Securities and Exchange Commission, a report released Thursday found.
The Committee on Financial Services' report highligh...
Advisors should expect the Labor Department to issue its finalized fiduciary rule in the first quarter of 2016 without too many substantial changes.
During a fi360 webinar on Thursday, CEO Blaine Aikin and senior policy analyst Duane Thompson ...
State and federal securities regulators are targeting advisors who market “free lunch” seminars and use misleading senior investor designations, drawing a correlation between these strategies and problematic behavior...
The Financial Industry Regulatory Authority is proposing to reduce the wait time to publish details of advisor terminations and investigations on its BrokerCheck system. ...
With advisors actively mobilized against the Department of Labor’s fiduciary proposal, the Financial Services Institute is now turning its sights to investors with a new initiative that gives consumers a chance to weigh in...
The financial services industry needs to accept the reality of the Department of Labor's fiduciary proposal and move onto figuring out how to live with it, advisors and industry trade associations said in candid comments at Pershing's INSITE 2015...
