General counsel David Bellaire predicts final broker standard in 2019, but not Form CRS.
'Interstate profession' should be overseen at federal level, chairman says.
Agency's chairman says, 'We have work to do,' following investor roundtable in Baltimore.
Insurance executives back measure making it easier to add lifetime income features to workplace savings plans.
Jay Clayton aims to clear up investor confusion by drawing a distinction between brokers and advisers in the agency's proposed package of revised standards. But where do dual registrants fit?
With calls for significant revisions by commissioners and investor advocates, it's hard to predict when the reform package might cross the finish line.
Pennsylvania advisory firm invested client funds in expensive share classes when less costly ones were available.
Rep. Maxine Waters, the top panel Democrat, opposes relaxing oversight.
American Securities Association will represent sector before Congress, regulators
In letter to SEC chairman Jay Clayton, lawmakers say agency's proposal is weaker than standard Congress laid out in Dodd-Frank.
