The U.S. House Committee on Financial Services marked up and passed bills on special purpose acquisition companies, broker-dealer and investment adviser mandatory arbitration clauses in customer agreements, and hiring practices.
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Beth A. Williams, Assistant Attorney General for the Office of Legal Policy, outlined several DOJ initiatives to combat elder fraud and abuse.
The New York Department of Financial Services adopted a final rule that establishes a "best interest standard" for individuals licensed to sell life insurance and annuity products.
The New York Department of Financial Services proposed updating the existing suitability regulation in order to establish a "best interest" standard for life insurance and annuity product licensed sellers.