Financial planners are mixed on the presidential contender, citing his fiscal and social conservatism.
Maryland, Connecticut aim to boost savings rates; some say the measures could be mandates on small employers.
A so-called summary prospectus would provide information about the risks, costs and benefits of the complicated products in a streamlined manner.
A New York jury convicted a financial adviser and his partner, a former race car driver, in a multimillion dollar fraud that victimized several current and former professional hockey players including forward Michael Peca.
Finra examiners should adhere to a code of conduct when reviewing member firms, Stephen Kohn, a candidate for the SRO's small-firm board seat, asserts. <b><i>(Don't miss: <a href="//www.investmentnews.com/article/20150707/BLOG09/150709942/three-reform-initiatives-that-finra-should-embrace"" target=""_blank"" rel="noopener noreferrer">How to make Finra work: Kovack</a>)</i></b>
Three contenders had to work way onto ballot, want reform in exams and arbitration
Finra chief Richard Ketchum says the regulator has put its CARDS proposal on hold but hasn't given up on the plan despite heavy pushback from critics.
Proposal would require brokers working with IRAs and other retirement accounts to act in their clients' best interests, increasing the number of financial advisers who are deemed fiduciaries.
Using an anecdote critical of VAs, Thomas Perez says most people are better served by simple investments.
SEC will require brokerages to include a 'readily apparent reference and hyperlink' to the database on home pages and broker profiles.
