Paige Pierce of Larimer Capital Corp. has been leading the effort to pass the Small Business Audit Correction Act.
State regulators release request for comment on model cyber rule
Arbitration lawyers assert changes would create regulatory 'black hole.'
New registrations increased 20% in 2017 over the year before
A recent third-party report showed Finra fines up in the first half of 2018, but the regulator declined to project this year's numbers, saying only that penalties fluctuate.
Goal is to 'create a single point of accountability for the examinations of firms'
FPA seeks policy influence at state, federal levels; CFP Board thinks states should not get involved, and NAPFA agrees.
Supporters hope Senate will move similar legislation to increase chances in lame-duck session
Rep. Stephen Lynch notes Dodd-Frank provision authorizing SEC to impose uniform standard 'no less stringent' than fiduciary duty.
New regulatory executive Bari Havlik says firms doing things the 'right way' should see a 'lighter touch' on exams.
