As Illinois pushes ahead with its automatic retirement savings account program, the Financial Services Institute argues the savings plans pose competition to advisers and will work to discourage other states from following suit.
Finra chief Richard Ketchum says industry groups like SIFMA are overlooking the investor protection benefit of Finra's controversial data-collection proposal.
SEC investor advocate Rick Fleming sees adviser oversight as a top priority, but says the SEC itself should continue to conduct adviser exams.
Regulators are using troves of digital information to monitor broker-dealers
Some advisers fault CFP Board for giving well-known South Dakota planner a sweetheart deal and for lacking transparency.
My trip to the island nation produced some memorable insights into the country's future.
House Republicans who oversee the SEC told the agency to do a better job of regulating investment advisers — and to do it without a significant budget increase.
Though new board has wide support among state regulators, GOP senator cries foul over infringement of states' rights.
With Congress adjourned, rejected bills, such as one facilitating insurance agents' ability to practice in multiple states that was blocked by Sen. Tom Coburn, will need to be reintroduced next year.
Proposal would hike investment taxes — and impose a transaction fee — but cut taxes for households under $200,000 income.
