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Congressional Activity: Testimony (35)
Your search for Congressional Activity: Testimony returned 35 results.
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6/14/2018 | Content area: Investment Adviser
With only days to go before the nation’s highest court rules in an IA enforcement case challenging the SEC’s use of administrative law judges, lawmake...
6/08/2018 | Content area: Investment Adviser
No one questions that the number of OCIE exams of advisers is increasing, and even more may occur should SEC Chairman Jay Clayton coax more funding ou...
5/17/2018 | Content area: Investment Adviser
One year after the Supreme Court ruled unanimously that the SEC can go back only five years after filing a legal action to retrieve ill-gotten gains, ...
3/07/2018 | Content area: Investment Adviser
To promote economic growth, provide tailored regulatory relief, and enhance consumer protections, and for other purposes.
2/01/2018 | Content area: Investment Adviser
Advocates holler that FinTech will drive the future of financial services. But first you have to define what it is.   The term “is vague and lacks a p...
10/05/2017 | Content area: Investment Adviser
One week after SEC Chairman Jay Clayton seemed tepid about moving on a fiduciary duty standard (IA Watch, Sept. 28, 2017), he told another group of la...
6/29/2017 | Content area: Investment Adviser | CPO/CTA
Signs had already pointed to a significant increase in IA exams by OCIE this year (IA Watch, April 13, 2017). SEC Chairman Jay Clayton told Congress J...
11/19/2015 | Content area: Investment Adviser
The SEC examined 10% of the registered investment adviser population in fiscal 2015, meeting its goal and equaling the mark set in 2014. While critics...
6/18/2015 | Content area: Investment Adviser
The story features a veteran from Illinois and his wife who saved their money for more than four decades, investing it at Vanguard ($3T in AUM). Then ...
12/17/2014 | Content area: Investment Adviser | Private Fund
Evolving technological innovation, ever-increasing cyber incidents and the constant need to secure consumer data all have financial services firms’ la...
5/05/2014 | Content area: Investment Adviser
Lawmakers last week peppered SEC Chair Mary Jo White on a range of issues, from FSOC leaning toward declaring large advisers as posing potential syste...
2/18/2013 | Content area: Investment Adviser
Senators last week heard acting SEC Chairman Elisse Walter estimate the Commission will take action toward its long-awaited proposal on expanding the ...
6/18/2012 | Content area: Investment Adviser
Opponents of an SRO for investment advisers may take it as a hopeful sign that the House Financial Services Committee hasn't scheduled a markup of the...
9/19/2011 | Content area: Investment Adviser
Lawmakers heard an important voice last week saying an SRO for advisers will be needed if Congress doesn't give the SEC the money to examine more RIAs...
9/19/2011 | Content area: Investment Adviser
At last week's congressional hearing probing potential modifications to the fiduciary duty standard (see related story), one lawmaker recalled his pas...
9/19/2011 | Content area: Investment Adviser
If you were keeping score during last week's House hearing (IA Watch, Sept. 12, 2011), those testifying for an SRO for advisers outnumbered opponents ...
8/01/2011 | Content area: Investment Adviser
With the clock winding down toward expiration of the nation's ability to pay its bills, a House subcommittee took time last week to assail the Labor D...
5/23/2011 | Content area: Investment Adviser
The SEC wouldn't look kindly upon advisory firms that retaliate against a whistleblower but evidence suggests the agency hasn't been so kind to its ow...
3/14/2011 | Content area: Investment Adviser
With the hindsight provided by two years' time, SEC Chairman Mary Schapiro told a House subcommittee last week that former Commission general counsel ...
2/21/2011 | Content area: Investment Adviser
The political sides lined up last week before Congress over whether to breathe new life into Dodd-Frank reforms or suffocate them, even as the Preside...


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