Regulatory reform

The focus since the 2016 election on easing rules, tax cuts and expanding access to credit is about to be turned on its head.

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.

There are good reasons to worry that brokers are unfairly maligned.

Noting how retirement saving has changed, the executive says the “responsibility we have for people’s savings is awesome.”

It’s another example of how impactful an update to broker standards of conduct could be.

While the IBD advocacy organization supports the proposal’s approach, key questions loom over the timeline and makeup of the potential regulation.

Bari Havlik says she needs to know when examiners’ rulings appear out of step with the actual guidelines.

Observers expect only modest changes from comment letters, and look ahead to a vote to enact new advisor and broker regulations.

Piwowar was appointed to the SEC by President Obama in 2013.

Instead, Chairman Jay Clayton should be looking for a quicker way for companies to move from private to public markets, and back.