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The regulator's investor advisory committee approved a set of recommendations for commission to clarify "best interest" advice for advisors and brokers.
November 8
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The midterm elections virtually eliminate the chance that progress will be made on financial services legislation.
November 7
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The presumptive chair of the House Financial Services Committee will likely take the panel in a sharply new direction and have a new bully pulpit to criticize the Trump administration.
November 6
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The focus since the 2016 election on easing rules, tax cuts and expanding access to credit is about to be turned on its head.
November 6
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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
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Actions against advisors and fund companies accounted for nearly a quarter of all standalone cases, even while budget constraints and legal setbacks hobble enforcement efforts.
November 5
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The regulator proposed a "clear and concise" summary for clients considering the products, but the impact appears limited.
October 31
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The securities and investment industries have switched parties when it comes to spending ahead of the Nov. 6 midterm elections.
October 31
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The lender will give $1,000 cash bonuses in December to eligible employees making less than $100,000 annually, CEO Brian Moynihan said.
October 30
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An index of asset managers and custody banks has lost almost a quarter of its value this year.
October 30
