As part of its focus on custody violations, the SEC is examining cases in which clients give advisers their usernames and passwords.
State regulators, Finra, SIFMA say their approach would clarify charges to investors, yet commissions and advisory fees are left out of the plan.
New liquidity rules would require mutual funds and ETFs to develop risk management programs and allow for 'swing pricing.'
Proponents' dollars lag this year, with a focus on grass-roots action.
Group says enforcement needs clarity; among 28 recommendations to the agency.
New measures are aimed at encouraging brokers to notify authorities when they suspect someone is trying to scam one of their clients.
The National Association of Insurance Commissioners to launch program to inform state insurance officials about agents in their state who have a disciplinary history with Finra.
Individual states will need to adopt model rules outlining policies investment advisers should have in place in case of natural disasters or death.
With the comment period ended and extensive changes requested, the task ahead in the Obama administration's remaining time is formidable.
With almost no chance a successor will be on board by Oct. 2, the then four-person commission should progress without interruption – or acceleration – to Chairwoman Mary Jo White's agenda.
