Jim Murray opens GuideStar Private Wealth Management and feels 'an immediate attitude shift, and that excitement is back and percolating every day.'
SEC chief says “if at the end of the day, you are depriving retail investors of reliable, reasonably priced advice, you will not have succeeded."
Latest letter threatens to slow the rule-making process while time runs down on the current administration.
At a House subcommittee hearing, legislators grilled David Grim, director of the SEC's Division of Investment Management, about the timing of a potential rule.
Measure that would force DOL to halt its efforts until the SEC acts would move to the Senate next, but Obama threatens a veto.
Between 2012-14, expungement was granted in 87.8% of cases in which it was sought, according to the Public Investors Arbitration Bar Association.
The regulator releases its priorities for the new year. Topping the list are firms' compliance culture and conflicts of interest.
Mr. Oxley was chairman of the House Financial Services Committee in the 2000s and promoted a self-regulatory organization for advisers.
Brian Kovack wants to make the organization more effective without antagonizing firms that are doing the right thing
Chairwoman White testifies before Congress about next steps and factors to gauge investor sophistication.
