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Based on the “forced experiment” of its remote periodic examinations of broker-dealers, the onsite portion “may not be necessary,” Robert Cook said.September 24
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The announcement was welcomed by Wall Street lobbying groups, some of whom sued to vacate the Obama-era regulation.June 29
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Trade groups warn that a proposal could end commissions in the state and play into a "fractured" regulatory environment nationwide.January 15
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Planners' fears of violating privacy stops them from taking action. If implemented, a new model act might help.September 4
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A group of 11 trade associations plan to ask the state’s securities regulator to reconsider its conduct proposal in light of action by the SEC last week.June 14
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Brokerages would rather have an SEC chief appointed by a President Trump set policies than take its chances with what might happen should a Democrat win the White House in 2020.May 30
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As New Jersey’s regulators move forward, trade groups and executives warn of increasing compliance costs.May 3
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The requirement is back in the spotlight as consumer advocates and business interests face off on proposal to outlaw this key provision of customer agreements.April 11
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Advisors and trade groups resist a patchwork of regulations, saying it would limit consumer choice and increase firms’ expenses.March 28
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Warnings from the brokerage sector as Nevada advances a uniform fiduciary rule have a familiar ring.March 20
