Congressional Activity

The Senate showdown last week with seven current or former Goldman Sachs employees included questioning about whether the firm was or should be under a ...

The Senate Banking Committee's report on The American Financial Stability Act from March 2010.

A copy of the “talking points” from Edward Jones for lobbying against an expanded fiduciary duty. This came up in the congressional debate in 2010 ...

How to extend a fiduciary duty to certain broker-dealers has long tangled lawmakers and policymakers and this week members of the SEC's Investor Advisory Committee ...

A copy of the amendment to Senate financial regulatory reform designed to replace a provision that would expand a fiduciary duty standard. This was proposed ...

Financial regulatory reform from Congress tops the list of predictions for your New Year. As one compliance officer in New York put it, whatever lawmakers ...

Because the SEC was "severely bruised" by the Madoff embarrassment, expect aggressive agency actions to avoid a repeat and more knowledgeable and inquisitive examiners.This was ...

They're not done yet, but they're getting close.The House Financial Services Committee will meet this week to vote on H.R. 3817, known as the Investor ...

A top Democrat in the House is promising to submit legislation that would require the SEC to mandate that brokers daily publish the identities of ...

As Congress begins to dig its hands into the Investor Protection Act, the fight over a fiduciary duty definition heated up last week with a ...