Regulators

SEC needs lots more hands and a 'cultural change,' author says

'The SEC never had the right expertise on the case and chased the wrong rabbit'

Reg D reform, once consigned to bottom of SEC's to-do list, rockets to the top.

Too many advisers are 'wasting a lot of money,' effort and time registering reps needlessly. 'They forget about the federal definition of an IA rep, ...