The CFP Board's new sanction guidelines cover 40 types of misconduct
Obama win would mean green light for DOL proposal; Romney, red
Group launches lobbying plan to protect deferrals; 'threat is nonpartisan'
Mary Schapiro is widely expected to leave her post as head of the SEC. The latest sign: She has begun to talk about her legacy as chairman of the commission.
Muni adviser reform fast-tracked after committee consensus reached; possible blueprint for SRO proposal
As the Financial Industry Regulatory Authority Inc. begins its sixth year of existence, the perception of its relationship to the market it oversees has taken on new importance. Its self-description as an “independent regulator” has drawn new scrutiny in recent months, after legislation that would establish one or more self-regulatory organizations for investment advisers was introduced in the House. Finra is lobbying fiercely on behalf of the bill and covets the role of the adviser SRO.
