Departing commissioner doesn't foresee final vote on proposal until 2019.
Regulator says most of the money was spent on improving regulatory functions and compliance by member firms.
Promotional flyer depicts the 'intimate relationship' advisers have with clients
SIFMA, Republican senator take issue with requiring Finra to set up fund to pay claims.
He prevails over a candidate backed by Finra's board to fill one of three large-firm positions.
CFP Board, FSI oppose new law prohibiting use of terms "certification" or "registration" for credentials not approved by state.
Securities Industry Essentials general knowledge tests begin Oct. 1, but there's still little awareness among the public about the opportunity.
If the presidential election had gone the other way, the Labor Department would have overcome the regulation's legal challenges — or at least still be in the fight.
The 5th Circuit Court of Appeals issued a mandate Thursday making its March 15 decision to strike down the regulation effective.
Reps. Maxine Waters, Carolyn Maloney express concerns that measure is too weak.
