Commissioner Daniel Gallagher says adviser stats likely equal to registered rep stats from Finra.
In risk alert, regulator provides advisers with a detailed checklist of what it expects firms to provide for cybersecurity protection.
American Realty Capital Properties Inc., the largest sponsor of nontraded real estate investment trusts, bought the property in conjunction with Golden Gate Capital's acquisition of the Red Lobster seafood restaurants from Darden Restaurants Inc.
House would be next to take up the bill, which could help financial advisers' clients
Checkered history, lack of regulation among reasons to be wary of virtual currency, agency says.
A judge has frozen client assets managed by Professional Investment Management.
Congresswoman encourages growth in number of female financial advisers.
Now that it looks like the SEC will get an additional $150 million in funding, speculation is mounting on how the funds will be deployed. Is increasing adviser oversight going to be a priority?
In taking organization to task, commentator says virtually all advisers fall under 'commission and fee' label.
Pushing her colleagues to decide whether to propose a regulation to raise investment advice standards for brokers, the SEC chairman called the uniform fiduciary standard 'a primary, immediate focus.' <i>(See what Mark Cuban had <a href="http://www.investmentnews.com/article/20140221/FREE/140229971" target="_blank">to say</a>.)</i>
