Chief regulator is confident two agencies could reach 'common ground' on an investment advice standard across all accounts.
Ms. Schroeder had been serving as head of enforcement since the departure of Brad Bennett earlier this year.
Finra panel says Wyoming couple lost right to receive monthly benefits.
Michigan Democrat resists ripping up DOL fiduciary rule but would be open to some changes.
Information includes names, Social Security numbers of tens of thousands of wealthy clients.
ICI, Chamber of Commerce among groups asking for delay, while Democratic lawmakers call on DOL to keep to its earlier planned schedule of Jan. 1, 2018.
Principal has communicated that independent agents must change their business models to keep receiving compensation.
Regulators must learn new techniques and skills to examine robo-advisers for their adherence to the fiduciary standard.
The proposed standards enhance the value of certification by establishing clear standards for the delivery of financial advice.
Scaramucci is known as an ardent foe of the DOL fiduciary rule, having said during the campaign that Trump would repeal it .
Retirement expert Alicia Munnell talks about the options for mending the 82-year-old safety net.
Reduction in compensation begs question of whether rule is being twisted to bolster broker-dealers' bottom lines.
Measure likely to continue in partisan advance in House, but could stall in Senate.
Board advances proposals to amend membership applications to allow the regulator to scrutinize troubled brokers, pending monetary awards.
Dick P. Wollman was fired by Horace Mann Securities for failing to disclose his indictment and barred for not cooperating with Finra's investigation into his termination.
Chairman and CEO of the bank that contains Merrill Lynch says the DOL regulation is part of a larger trend in financial services.
Finra panel orders VectorGlobal WMG to pay damages involving the recruitment of former Citi brokers and the use of confidential information.
Little has been said about prudent recommendations to transfer an IRA from another firm to the adviser's firm.
One is a vote on a bill to kill Labor's rule and replace it with a disclosure-based best-interest standard, while the second is legislation to prevent funding for enforcement of the regulation.
