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SEC accused of regulation by enforcement as critics on both sides circle - Insurance News

SEC accused of regulation by enforcement as critics on both sides circle - Insurance News
insurancenewsnet.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from insurancenewsnet.com Daily Mail and Mail on Sunday newspapers.

United statesDale brownJohn hiltonDavid bellaireFinancial services instituteExchange commissionOffice of the investorAmerican association for justiceConsumer federation of americaNational association of consumerSecurities enforcement forumProcedural frameworkPrevent regulationChairman gary genslerSecurities enforcementInvestor advocate

FSI presses SEC to end regulation by enforcement

FSI presses SEC to end regulation by enforcement
investmentnews.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from investmentnews.com Daily Mail and Mail on Sunday newspapers.

United statesDavid bellaireRobin traxlerGary genslerSteve peikinExchange commissionDepartment of laborFinancial services instituteDivision of enforcementSecurities enforcement forum

FSI revives suit to preserve advisors independence amid DOL rule

FSI revives suit to preserve advisors independence amid DOL rule
financial-planning.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from financial-planning.com Daily Mail and Mail on Sunday newspapers.

United statesMark quinnDonald trumpDavid bellaireJulie suJoe bidenFinancial services instituteFinancial services industryDepartment of laborPacific legal foundationUs department of laborFinancial industry regulatory authorityCetera financial groupCircuit courtFifth circuit courtCetera financial

The SEC s cybersecurity proposals | Financial Planning

Industry groups question the wisdom of regulators seeking to have one rule on data breaches for broker-dealers and another one for advisors.

United statesSusan olsonGail bernsteinAndrew hartnettMelissa macgregorGary genslerDavid bellaireSalmon of the investment company instituteInvestment company instituteInternet crime complaint centerInvestment adviser associationFinancial markets associationFinancial services instituteExchange commissionAmerican securities administrators associationWall street

New industry group forms for individual financial advisors

The founders of the Financial Professionals Coalition contend that most industry groups back firms and big players. They plan to stand up for the little guy.

United statesStephen kohnBill singerDavid bellaireJohnny burrisFinancial services instituteFinancial professionals coalitionSecurities industry financial markets associationFinancial industry regulatory authorityCommodity futures trading commissionExchange commissionAdvisor groupA financial services instituteWall streetBurris wealth managementIndustry news