Regulatory reform

The midterm elections virtually eliminate the chance that progress will be made on financial services legislation.

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.

Missouri legislators inadvertently passed a law that would outlaw the Certified Financial Planner credential.

Firms designated as “taping firms” due to the high number of brokers they hired from disciplined firms may soon have their status as taping firms disclosed in BrokerCheck.

Advancements in fintech, new products and a shifting regulatory environment are among industry executives' top concerns.

The court said the in-house SEC judge who handled Raymond Lucia’s case was a constitutional "officer," meaning he should have been directly appointed by the SEC.

The move is an early indication of how firms may react to the demise of the Labor Department regulation.

The regulation was dealt a fatal blow when a federal appeals court hearing a challenge to the rule by business groups vacated it in a split decision.

The regulator will save members tens of millions of dollars by helping them verify advisors’ Form U4 financial disclosures, Robert Cook says.

The departure might slow SEC Chairman Jay Clayton’s progress on creating stricter standards of conduct for brokers and advisors.

With the rescue attempt's failure, all eyes now turn to the SEC which is considering its own proposal for raising financial advisor standards of conduct.