The SEC need not wait for Congress to act to reform the "patchwork quilt" of regulatory rules governing investment advisers and broker-dealers, according to Commissioner ...
In letters and speeches, investment industry advocates are lobbying Congress on how to pursue a potential harmonization of regulations governing investment advisers and broker-dealers. IA ...
Much resides on the plate of the SEC but here's another sign that the whole issue of harmonizing investment adviser and broker-dealer regulation is heating ...
It appears more likely that whatever regulatory reform package emerges from Congress that it may well erase the distinctions between IAs and broker-dealers.Last Thursday the ...
Firms that engage in retail foreign exchange activities, supervision procedures that promote good compliance, sales practices to seniors, anti-money laundering efforts and other examination topics ...
Future financial debacles could be avoided if Congress creates a "systemic risk regulator" and combines the SEC and the CFTC into a new "capital markets ...
More than 13,000 names make up the list of supposed clients of Bernie Madoff, including several registered investment advisers.Many tell IA Week it's because they ...