CFP John Chrin runs as a Republican for a House seat in Pennsylvania; Neal Simon, CEO of an RIA, seeks Maryland Senate seat as an independent.
Agency to consider 'regulatory options' by September, same deadline for SEC's advice rule.
She said lawmakers may have to change 'solely incidental' language that lets brokers give advice.
Document suggests the proposed SEC advice rule is too weak.
A shift in control of the House could change the course of important issues, including the SEC advice rule, tax reform and retirement policies.
InvestmentNews poll finds 49.2% approve of his performance, while 46.7% disapprove. How has that changed over the course of his presidency?
Brian Chilton moved to Morgan Stanley instead of Wells Fargo after Credit Suisse closed brokerage business.
John Halsey Buck III was fired by Morgan Stanley in January over private securities sales
But NASAA said among cases brought against registered entities, the number of investment adviser cases 'significantly outnumbered' broker-dealer cases for the first time.
State poised to jump to lead in resisting forthcoming SEC advice rule.
