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From regulations to diversity and inclusion, these leaders are set to make an impact on wealth management.December 17
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The chairman dismisses criticism as misguided, but leading investor advocates say he is misstating their views and glossing over real regulatory problems.July 11
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The chairman says the commission is working closely with FINRA on inspection plans to hold brokers to account.July 9
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Investor advocates blast the SEC's proposal, telling lawmakers it would do more harm than good.March 14
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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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Critics say SEC efforts to regulate advisor titles could produce a game of whack-a-mole, as non-fiduciary financial professionals adopt other terms intended to blur lines.April 30
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New standards for advisors cover digital advice, third-party relationships and expand fiduciary duty obligations.August 15
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A bill repealing rule moves on to House floor, while appropriators seek to block funding for the measure.July 20
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There is "no principled legal basis" to do so, Labor Secretary Acosta says.May 23
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Too often, the agency overlooks the true impact of its policies, according to commission's investor advocate.February 28
