Two proposed rules issued by the SEC last November drew a smattering of comments compared with the onslaught received over the fiduciary duty standard and ...
Two pitches delivered last week allude to the hardball ahead for the SEC and its designs on carrying out Dodd-Frank reforms, such as possibly advocating ...
This is the so-called 913 study by the SEC into a uniform fiduciary duty standard for investment advisers and broker-dealers. This was released in January ...
Another day, another Dodd-Frank study from the SEC. This one satisfies lawmakers request that the agency consider ways to improve investors’ access to data on ...
Of the nearly 5,000 brokerage firms registered by FINRA, 1,734 firms - or 37% - have an affiliate engaged in investment advisory activities. The statistics ...
The SEC's study giving Congress three options to enhance RIA exams contains a little bit for everybody (see related story). It also gives industry groups ...
The SEC expects your policies and procedures to include a look at the "accuracy of disclosures made" in advertisements but it doesn't lay out a ...
Last week, the GAO, in its Dodd-Frank study of financial planners, recommended educational efforts, confirmed that consumers are confused about the role of financial planners, ...