DOL conflicts-rule champion Phyllis Borzi steps back while secretary meets with industry
The organization is trying to calm the controversy over how advisers holding the CFP designation define themselves
NAPFA ruling fuels war of words among RIAs.
Federal financial regulators collaborate on consumer <a href="//smartcheck.cftc.gov"" target=""_blank"" rel="noopener noreferrer">website</a> linking resources on advisers and investment products.
State securities regulators flag binary options, stream-of-income and marijuana schemes as emerging investor threats.
The Securities and Exchange Commission has charged investment adviser Robare Group with fraud for not telling clients of its fee arrangement with a broker.
NASAA calls binary options, stream-of-income and marijuana schemes emerging investor threats.
Net worth standard is top criteria but views mixed on whether to raise it.
Potential changes to the process by which brokers can remove disciplinary information from their online records are under review.
Appropriation of $1.4B also falls short of regulator's request to strengthen oversight; separate bill to cover exam costs gains bipartisan support.
