As regulator made it clear it was ready to fight tooth and nail, firm moves to settle, pay a fine.
Republican Piwowar criticizes Finra's plan for a massive brokerage data collection mechanism, asking whether it's a "solution in search of a problem."
After Dodd-Frank, SEC relying more on own judges. Regulator claims practice is more efficient, but lawyers say it puts defendants at a disadvantage
Andrew Ceresney espoused the agency's increased use of in-house judges before a congressional panel, while steering clear of the debate over raising investment-advice standards.
Piwowar says agency should avoid the appearance it is using administrative law judges in enforcement cases to improve chances of success.
Group's 11-point guide seeks to get advisers on the same page without waiting for government rules.
Commissioner says that the private market is working just fine and that the effort to revise the accredited-investor standard is a waste of time.
Crapo tells Finra chief Ketchum system could jeopardize investor privacy, be used for government surveillance.
Industry groups organize to have a stronger voice in shaping the CARDS rule going forward.
Senate leaders are asking the public to add their ideas for overhauling the code to the bipartisan debate.
