Does your congressman know how an SRO would make your life more difficult? Did you tell him?
Financial planning is growing as a profession around the world, according to an organization that sets standards for its practitioners.
Like many other industry groups, the American Society of Pension Professionals and Actuaries is redoubling its effort to communicate with federal lawmakers at a time when the massive federal budget deficit is causing Congress to consider new ways to produce revenue
Sen. Tom Harkin expected to introduce bill calling for small levy on buying, selling of investment instruments; could curb 'pointless trading'
State regulators and compliance experts are at odds about whether the states will be ready to take over regulatory responsibility for thousands of small investment advisers in March, some compliance experts said
SEC Commissioner Elisse Walter picked a tough crowd before which to try to drum up support for a draft SRO bill for investment advisers proposed by House Financial Services Committee Chairman Spencer Bachus.
A draft of a bill that would establish a self-regulatory organization for investment advisers was released today by House Financial Services Committee Chairman Spencer Bachus, R-Ala., in advance of Tuesday's hearing by the House Capital Markets Subcommittee.
The supercommittee charged with putting together a deficit reduction package by Thanksgiving isn't likely to find the seven votes it needs to trim the tax exemption for investing in municipalities.
In an effort to halt that regulation and persuade the department to start over, the Financial Services Institute is going over Ms. Borzi's head and her boss's head, Secretary of Labor Hilda Solis, to President Barack Obama.
As Congress begins to assess the possible role of exchange-traded funds in recent market volatility, two ETF providers are clashing over the best way to help investors navigate the increasingly complex products
