Seek redefinition of 'retail,' exclusion of tax-exempt funds.
SEC looking at alternative criteria beyond wealth to determine who can invest in private offerings.
Oversight of $3.7T market comes from Dodd-Frank, includes some exemptions.
Wirehouses largely back recruiting incentive regulation but IBDs oppose it.
Institutional users now caught up to retail customers who have embraced the technology.
Deadline for ballots in race between Stephen Hart and Myles Edwards is Monday.
Richard G. Ketchum, chairman and chief executive of Finra, called on brokers to make the fiduciary standard their guideline and not to get bogged down in the legal liabilities associated with it.
IAA report finds number of SEC-registered investment advisers up only slightly.
Investor alert warns that 'too good to be true' pitch probably is
The House passed Rep. Ann Wagner's bill that would delay and possibly kill the Labor Department's fiduciary rule. Does it stand a chance in the Senate?
