Citing the complexity of the issue and the critical need to strike the right balance, SEC Chair Mary Jo White told a House subcommittee on ...
Despite current regulatory disclosure requirements, investors are confused about the fees charged by brokerage firms to service and maintain their accounts, according to a new ...
Whatever you say about the Department of Labor’s new fiduciary duty proposal, it promises to change the landscape if finalized. “It’s a thoughtful, complicated ...
Internationally, we must find a new way: we must swap our regulatory hubris for humility, and work to find common ground with our international counterparts ...
FINRA and the Securities and Exchange Commission (SEC) issued a report to help broker-dealers conduct an analysis for assessing, crafting, or refining their policies and ...
The speed and interconnectedness in our markets provides a number of benefits. However, we also know that when software or computers fail, they can ...
NASAA and the SEC have a long history of working together to provide a robust regulatory environment for businesses to grow and to protect the ...
Bank Regulators at the Gates: The Misguided Quest for Prudential Regulation of Asset Managers: Remarks at the 2015 Virginia Law and Business Review Symposium
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Continuing Education Planning