Finra's spending on Capitol Hill lobbying hits $450,000 so far in 2013, down from 2012. Despite the decline, the regulator's lobbying still towers over that of investment adviser groups.
A new survey reveals that firms are ceasing efforts to ban advisers' use of social media. Instead, the battle has shifted to the compliance front.
Investment Adviser Association, TD, Schwab hit Capitol Hill armed with odd message
CEO faces headwinds in Washington after pitched battles over Obamacare.
Leftover funding from the fiscal year that just ended will keep the SEC running at 100% for a few weeks despite the government shutdown.
Broker regulator uses Twitter, digital video to release board decision.
Massachusetts' securities chief Galvin begs to differ
But industry champing at the bit to hawk their wares in the media
As financial planning groups wrestle to define fee-only advisers, some NAPFA members might be out of CFP Board compliance. The rift could be healed next week.
