5th Circuit denies states' second attempt to defend DOL fiduciary rule
May 22, 2018 01:00:00 AMThe 5th U.S. Circuit Court of Appeals denied Tuesday another effort by attorneys general from California, New York and Oregon to defend the DOL's fiduciary rule.
States trying to save DOL fiduciary rule appeal rejection of effort to intervene
May 17, 2018 01:00:00 AMThree states trying to save the Labor Department's fiduciary rule are appealing a decision by a federal court to deny their attempt to intervene in the case.
DOL fiduciary rule lawsuit withdrawn by fixed annuities group in DC federal court
March 27, 2018 01:00:00 AMThe National Association of Fixed Annuities withdrew its lawsuit against the DOL's fiduciary rule that was pending in the D.C. Circuit Court of Appeals.
SEC forging ahead on fiduciary rule despite DOL rule decision in 5th Circuit
March 19, 2018 01:00:00 AMJay Clayton said the SEC is moving forward on a fiduciary rule and its work would not be affected by a court decision striking down the DOL rule.
Meet the SEC nominees: One opposes the DOL fiduciary rule, one is a blank slate
September 13, 2017 01:00:00 AMRepublican Hester Peirce and Democrat Robert Jackson seek to fill two vacancies on the commission
Recent market volatility draws SEC scrutiny of ETFs
October 16, 2015 01:00:00 AMExtraordinary financial market volatility in the late summer has prompted the Securities and Exchange Commission to look into how exchange-traded products are sold and priced.
FSOC approves money-fund recommendations for public comment
November 13, 2012 12:00:00 AMA panel of federal financial regulators did on Tuesday what the Securities and Exchange Commission failed to do over the summer – release for public comment a proposal to reform money market mutual funds.
Putnam's Reynolds aims to put retirement security on election agenda
May 10, 2012 01:00:00 AMIn a presidential election with many competing issues already on the table for the Democrats and Republicans, Putnam Investments chief executive Robert Reynolds wants to turn the conversation to something more substantial: retirement issues.
Financial transactions tax maybe on Senate's agenda
October 25, 2011 01:00:00 AMSen. Tom Harkin, D-Iowa, is expected to introduce a bill that would impose a tax on financial transactions.
Pension tax breaks not off-limits to deficit fighters
June 13, 2011 01:00:00 AMSen. Harkin proposes new retirement scheme to supplant 401(k)s
March 09, 2011 12:00:00 AMSen. Tom Harkin, D-Iowa, chairman of the Senate Health Education Labor and Pensions Committee, would like to create a new private retirement system that is based on professionally managed pools of retirement funds.
SEC funding at center of House turmoil
February 21, 2011 12:00:00 AM