Congressional Activity

Just days before a House subcommittee takes up the issue of an SRO for advisers (IA Watch, Sept. 5, 2011), Sen. Spencer Bachus (R-Ala.) has ...

This is the SRO bill submitted by Rep. Spencer Bachus (R-Ala.) in September 2011.

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 ...

President Obama is asking the Senate to formally approve Washington, D.C. attorney and former SEC staffer Daniel Gallagher as a new SEC commissioner. The president ...

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 own ...

With the hindsight provided by two years' time, SEC Chairman Mary Schapiro told a House subcommittee last week that former Commission general counsel David Becker ...

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 President ...

This is the latest version, subject to late changes, of the House-Senate conferees' version of the Dodd-Frank financial regulatory reform legislation. This is current as ...

Final text of the House-Senate conferee's legislative language for fiduciary duty issue in financial regulatory reform bill.

SEC Commissioner Elisse Walter last month openly called for the creation of an SRO for advisers. Speaking at an industry conference, she also questioned proposals ...