Chairman says agency is neutral on how to fund exam expansion.
Says agency needs funds to boost oversight of advisers; first attempt died in '12.
Kiley sentenced to long jail term for part in $194M Ponzi scheme
Most observers doubt Congress can accomplish comprehensive tax reform before the end of 2014. But can the code be tweaked short of an overhaul? Supporters of a measure to abolish the estate tax hope so.
Radio host Ray Lucia for years asserted that he thoroughly tested his investment strategy. A judge this week ruled otherwise, ordering Lucia and his firm to pay hefty fines for making the claim.
Finra has gotten the go-ahead to issue a monthly letter divulging complaints against reps. Not surprisingly, this doesn't sit well with some brokers.
Industry group is wary of the SEC's information-seeking request
A hard look at agency's likely new chairman
Official calls economic analysis "robust," says process is completely transparent.
A House bill would require the Labor Dept. to coordinate with the SEC in devising a rejiggered standard. Some experts say such 'coordination' could spell the end of the department's plan. Here's why.
Mandatory arbitration has been generating plenty of headlines lately, but SEC Commissioner Elisse Walter says the regulator won't be addressing the subject any time soon.
The pressure is mounting to get rid of mandatory arb contracts. The latest: State regulators are urging the SEC to toss a Finra ruling that upheld Charles Schwab's use of the waivers.
Some banks indicating they may shut accounts to ease compliance headaches.
Apparently, deferrals on 'blank slate' of Baucus and Hatch; robbing Peter to pay Paul?
Finra claims StateTrust charged unfair prices in 563 transactions
The two helped set up program targeting advisers who give preferential treatment to clients.
