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Congressional Activity: Feedback (10)
Your search for Congressional Activity: Feedback returned 10 results.
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5/04/2017 | Content area: Investment Adviser
Former Sullivan & Cromwell Partner Jay Clayton was sworn in May 4 as chairman of the SEC, two days after the Senate confirmed him for the role. Despit...
7/16/2015 | Content area: Investment Adviser
SEC Chair Mary Jo White highlighted the Commission’s enforcement record and complex and far-reaching regulatory efforts during her tenure in defending...
5/19/2015 | Content area: Investment Adviser
An extension of any length appears to beat no extension at all. That’s the consensus after the Department of Labor announced May 15 that it would exte...
3/11/2015 | Content area: Investment Adviser
Amid concerns about a lack of consultation among the Department of Labor and the SEC on the DOL’s reproposed fiduciary rulemaking, two Republican lawm...
2/19/2015 | Content area: Investment Adviser
That didn’t take long. The House Committee on Financial Services has criticized President Obama’s FY2016 budget and homed in on the SEC’s 15% requeste...
10/22/2014 | Content area: Investment Adviser
Despite revisions instituted to placate initial dissention, FINRA’s controversial Comprehensive Automated Risk Data System is still being widely panne...
11/19/2012 | Content area: Investment Adviser
The story repeats so often throughout history that it qualifies as a Greek tragedy: A boss with unlimited power gets questioned by compliance staff, s...
8/22/2011 | Content area: Investment Adviser
Ironically, the very week the new Dodd-Frank whistleblower rule took effect (IA Watch, Aug. 15, 2011) the SEC finds itself under scrutiny for allegedl...
8/31/2009 | Content area: Investment Adviser
Sen. Ted Kaufman (D-Del.) believes the SEC has drug its feet on new short selling restrictions so he's upped the ante by calling upon the Commission t...
1/01/2007 | Content area: Investment Adviser


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