Proposal would require brokerage firms to include links from their websites to a public database containing brokers' histories.
Rep. French Hill says the broker-dealer SRO is the best equipped regulator for the job.
Chief broker regulator finds a lot to dislike in proposal, including unintended consequences such as a possible cutback in sales of IRAs.
Broker's former daughter-in-law claims churning and fiduciary breach.
Regulator wants feedback on listing, trading and marketing of ETPs.
Proposed rules would require advisers on their Form ADVs to divulge more about their use of separately managed accounts and social media activities
Lawmakers argue that agency hasn't justified a 15% increase for 2016
The measure would require a broker who has transferred to a new firm to send an “educational communication” to clients.
Proponents of a fiduciary standard are ganging up on commission-based advisers through public shaming regarding the Suitability standard.
New proposal would make discovering bonuses for moving a do-it-yourself proposition for investors.
