Congressional Activity

The latest attempt to define a fiduciary duty standard to be shared by investment advisers and broker-dealers didn't inspire any hand-holding by industry representatives who ...

Whatever legislation reforming financial services regulations that comes down from Capital Hill could include a model approach to compliance that mirrors RIAs' method. CCO David ...

As early as November the SEC's Inspector General expects to release another investigative report - this one peering into why OCIE examiners never visited Bernard ...

If you didn't closely scrutinize the House's bill on executive compensation, you may have missed that it would cover investment advisers.The bill passed last month ...

No promises were spoken, but some members of The Committee for the Fiduciary Standard left encouraged after an audience last month with two SEC commissioners ...

SEC Chairman Mary Schapiro reiterated her full support of a proposal to apply the same standard upon investment advisers and broker-dealers before Congress last week, ...

Karen Silkwood, John Dean and Linda Tripp are just some of the names that come to mind when recalling famous whistleblowers. The SEC receives thousands ...

You can make your voice heard - or rather tack your name onto a growing list of those urging Congress to mandate an "authentic" fiduciary ...

SEC Chairman Mary Schapiro supports the client's interest standard within the proposed Treasury Department bill and reads it as applying a fiduciary duty. She also ...

Copy of the letter supporting a fiduciary standard as part of 2009 lobbying effort by the Investment Adviser Association, among other groups.