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SEC nominee Peirce concerned about agency’s lack of input on DOL fiduciary

March 16, 2016

Mar 15, 2016 @ 1:56 pm | By Mark Schoeff Jr. | Investment News

One of the nominees to become an SEC commissioner expressed concern Tuesday that the agency has not had appropriate input into a Labor Department rule on investment advice.

In a confirmation hearing before the Senate Banking Committee, Hester Peirce said she hasn’t had a chance to read the DOL measure, but is uneasy about the way it was put together.

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Second Annual Blue Vault Broker Dealer Educational Summit 2016
Broker Dealer Educational Summit 2016
May 30, 2016

The time (at Blue Vault's 2nd Annual Broker Dealer Educational Summit) proved extremely informative.