Consumer Financial Protection Bureau worried about investment scams.
Company agrees to pay $5M to settle the charge; 'clear violation'
Both Dems and Republicans urging new SEC boss to act
SRO offers options on valuing vehicles like nontraded REITS on account statements.
Furey case raises questions about how agency handles internal affairs
Commission says Reg FD applies to social networks the same as it does to web sites
The regulator may seek greater risk, valuation disclosures from banks.
Finra chief says fixed income, structured products demand straight talk to clients.
Disclosure could eventually end era of big bonuses, saving firms a bundle
Last year, investment advisers were playing defense on Capitol Hill on the issue of regulation. This year, they're on offense, and that gives the debate a different flavor.
Suddenly, mandatory arbitration is a hot topic. The latest sign: Sen. Al Franken and 36 Democratic lawmakers have called on the SEC to ban the agreements.
In a speech this week, SEC commissioner Luis Aguilar railed against mandatory arbitration agreements. Expect industry advocates to fire back.
OK with bigger budget, fees or SRO but says oversight 'problem' needs to be fixed.
Workers are being encouraged to roll their 401(k)s into IRAs, but that might not be the best plan of action, the GAO says. Solution? Use plain English, for one thing.
For the moment, liberal representative Maxine Waters's view on RIA oversight is making her a favorite of advisers. But the feeling isn't likely to last.
