A new SEC will soon be in place. That means SRO champion Elisse Walter will be gone — and with her, the push for a broker SRO.
New regulations for brokers who control their clients' cash will go a long way toward preventing another client rip-off like the Bernard Madoff Ponzi scheme, the SEC commissioner said.
Chairman says investor advocacy recommendations 'in my briefcase every day and every night.'
The SEC would gets its requested 33% budget increase, according to a bill approved by a Senate panel. But will both the House and the Senate sign off on the bump up?
Less than a month after getting hit with the largest Finra fine ever for e-mail compliance failures, LPL has hired a former SEC official as its general counsel. The CEO says the two are not related.
Colorado-based adviser seeks to make the organization a home for brokers moving to RIA.
Advisers lean toward Janet Yellen to replace Ben Bernanke as Fed chief over Larry Summers. Here's why.
Roper says rule fails to protect retail investors from potential scams; 'no credibility left'
Advancing on money market reform with unanimous commission gets praise.
Wealthy get biggest bang from retirement savings deal, lower investment taxes.
