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Several Senate, House and gubernatorial battles are of interest to financial firms. Here is a spotlight on specific contests, with updates as they become available.
November 6 -
The securities and investment industries have switched parties when it comes to spending ahead of the Nov. 6 midterm elections.
October 31 -
The bank continues to battle a series of negative headlines such as erroneous foreclosures, but public and investor reaction has been muted.
August 14American Banker -
The reforms could serve as a checklist for firms looking to enhance their own cybersecurity posture in light of the regulator’s increased scrutiny.
June 21 -
Lawmakers praise the spirit of the rule, but want to see a true uniform fiduciary standard.
June 21 -
Co-chiefs of the SEC’s Division of Enforcement tout a program aimed at repaying investors for excessive mutual fund fees as a new approach to curbing industry abuses.
May 17 -
The legislation, opposed by most major asset managers, would repeal a requirement that the riskiest funds allow share value fluctuations.
January 19 -
Harmonizing a potential SEC regulation with that of the Labor Department is tricky business, experts say.
November 14 -
Chairman Jay Clayton says the regulator is drafting a rule proposal to harmonize standards for brokers and advisors.
October 5 -
A new bill would go further than past attempts to block the Labor Department altogether.
July 13