The impasse on Capitol Hill over the federal budget may give more ammunition to proponents of establishing a self-regulatory organization for investment advisers.
Aguilar, Gallagher tipped for relatively painless confirmation process
A new federal law aimed at curbing cozy relationships between advisers and government officials is spooking advisory firms. In fact, some firms are telling all their reps – and not just those who work with state and municipal officials – to shun political activity.
The president is putting his money where his mouth is on his IRS Form 1040, maxing out education and retirement savings, and reporting healthy charitable donations, according to an expert who reviewed the tax returns the country's chief executive made public after paying his family's annual bill
House Republicans last week formally began their effort to roll back parts of the Dodd-Frank financial reform law, with a House Financial Services subcommittee approving several bills that would reverse some of the measure's mandates, including one that requires private fund advisers to register with the Securities and Exchange Commission
Wolin says many investors don't know if they're dealing with an investment adviser or broker
Law's co-author comfortable with postponement of deadlines — if agencies need more time to gather info
In the give-and-take of congressional budget negotiations, the Securities and Exchange Commission got a little more funding than expected — but not nearly as much as it says it needs to perform its core functions while implementing the Dodd-Frank financial reform law.
Officials at federal agencies scrambling to translate the Dodd-Frank Act into regulations can breathe a little easier if they fall behind, as many of them have
Advertising and marketing are still a prime worry, but the 'death-penalty' is an increasing vexation
