- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2017-11-14T11:45:00
While the Labor Department’s Fiduciary rule for investment advice remains uncertain amid lawsuits and Congressional attacks, the SEC prepares to issue its own version.
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2018-07-25T15:00:00Z By Joe Mont
Elad Roisman, a Republican nominated as an SEC commissioner, made his pitch Tuesday for the job during a nomination hearing before the Senate Banking Committee.
2018-04-24T11:00:00Z By Joe Mont
With the apparent demise of the Labor Department’s fiduciary rule, the SEC has stepped in to fill the void. Will the proposed Regulation Best Interest aid investors?
2018-03-20T09:15:00Z By Joe Mont
The Labor Department’s regulatory soap opera is facing another cliffhanger and an appeals court opinion that vacates it. But the story is far from over.
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