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Bari Havlik says she needs to know when examiners’ rulings appear out of step with the actual guidelines.
September 25 -
Piwowar was appointed to the SEC by President Obama in 2013.
September 6 -
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.
June 21 -
The move is an early indication of how firms may react to the demise of the Labor Department regulation.
June 15 -
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.
June 14 -
The regulator will save members tens of millions of dollars by helping them verify advisors’ Form U4 financial disclosures, Robert Cook says.
May 22 -
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.
May 2 -
Leading trade groups counter a request from AARP and three states for fiduciary rehearing, in hopes that the circuit court's rejection will be the last word on the regulation.
May 1 -
By requiring brokers to look out for clients’ best interests, the SEC is effectively requiring them to give financial advice, which distinguishes them from online brokers and should let them keep charging clients premium fees.
April 23Unison Advisors -
The commission's approach stands a good chance of superseding the Labor Department's fiduciary rule.
April 18