As in the past, budget is short of what agency says it needs to increase oversight of advisers.
Without outright endorsing the idea, executives say outside contractors should be considered as a way to increase oversight of RIAs.
FPA, which has championed a uniformed fiduciary duty, is joining with an insurance giant.
Noting surge in inflows, Bowden calls the funds 'bright, shiny objects' with sharp edges.
Lawyers plan to lobby Congress to curb mandatory arbitration and regulators' readiness to clear brokers' names.
Study tied to preserving tax incentives for 401(k) plans.
New proposed rule would prevent people with industry experience from becoming “public arbitrator.”
One of several tax extenders the committee will take up Thursday.
Senate hearing focuses on rebates paid to brokers for placing trades with wholesalers and for using certain exchanges.
Interest groups lobbying Congress on behalf of financial advisers spent anywhere from $20,000 to nearly $2 million in the first quarter. Mark Schoeff reports on who spent what.
