Agency is signaling that it first may adjust the rules governing brokers and investment advisers
Moves this week by Finra and the SEC signal watchdogs are ready to pounce on anyone overcharging clients.
President Barack Obama nominates former U.S. attorney Mary Jo White to head the SEC. What could it mean for fiduciary duty and the SRO issue? <i>IN</i>'s Mark Schoeff Jr. has the answers.
Finra panel says Tanner does not have to pay back promissory note; document, document, document
Group calls $50K threshold 'arbitrary,' says plan overlooks other comp.
Ruling suggests agency needs to get act in gear on '08 financial crisis cases.
Association wants to eliminate uncertainty; Commission currently split along party lines
SIFMA and fiduciary advocates mix it up at a high-profile conference.
Excessive-fee claim challenges precedent that protects managers
Former Rep. Jesse Jackson Jr. is the latest member of Congress to fall from grace.
If class actions are taken off the table, investors who have been victimized by brokers will be hurt. Perhaps just as importantly, a tool that helps keep the brokerage industry honest will no longer be in place.
Agency must file cases seeking civil penalties for securities fraud within five years of the alleged incident
Group of billionaires and pols issues plan that would hike inheritance tax with $2M exemption.
Cuts might deal the nascent economic recovery a short-term setback, but investment advisers say the medicine is necessary to start curing the nation's long-term fiscal ills
Closing loopholes to stop sequestration will likely derail broad reform
Automatic cuts could whack SEC budget by more than $100 million.
Background as both prosecutor and defense attorney for Wall Steet a good thing, Kotz says
Even a smooth confirmation process for SEC-chairman nominee Mary Jo White could take months, leaving current chairman Elisse Walter in place for a while.
