Expected exit of enforcement chief raises questions about who will be the regulator's longterm boss
Agency inertia may help overcome division leadership turnover
The SEC needs a high-profile, forceful boss -- not a caretaker
Walter eyeing Reg D ad rule, fiduciary standard -- but faces uphill slog
Self-regulator pulls social media, structured products from annual list.
Democratic chairman wants to move investment tax rates closer to individual levies.
One of the most controversial creations of the Dodd-Frank financial reform law – the Consumer Financial Protection Bureau – is not supposed to creep into investment-adviser regulation, which is under the aegis of the Securities and Exchange Commission. But advisers should keep an eye on the agency; the Certified Financial Planner Board of Standards Inc. certainly is.
Regulator's recently-adopted rules seem to directly contradict the implicit promise of privacy from SEC/CFTC rule
In a surprise move, B-D cop Finra will allow RIAs to use its arbitration system. Why?
A new Commodity Futures Trading Commission rule to harmonize certain CFTC and SEC mandates that apply to mutual funds investing in commodities is drawing criticisms.
By harping on the negatives of the deal, Republicans failed to get credit for protecting most of their constituents
Pundits express shock over deficit-ceiling work around; numismatists on the fence
According to sources, a heads-up from Finra led the SEC to investigate potential insider trading at SAC.
Kenneth Bentsen named acting president and chief executive
A former MSSB manager has won a $1M Finra panel award. The dust-up? The exec claims the wirehouse forced him to resign.
The fiscal-cliff denoument was not pretty. But it may have laid the foundation for broader tax reform in 2013.
In a move sure to cheer B-Ds — and their attorneys — Finra backtracks from an earlier, stricter interpretation of what reps can say to non-clients.
