The Dodd-Frank financial reform law is an intimidating piece of legislation, if not for the breadth of its reach and ambition, then certainly for its sheer size — all 2,300 pages of it
The SEC's schedule of investment adviser examinations will likely grind to a halt if the federal government is forced to shut down Friday
Firms with $1B in assets under management would be subject to the proposed rule; 'unintended consequences'?
The Securities and Exchange Commission has found itself in the cross hairs of House Republicans determined to deny it the funding it says it needs to implement the many mandates called for by the Dodd-Frank reform bill
President Barack Obama and House Republicans are headed for a collision over support for the Securities and Exchange Commission.
American workers and retirees are more hopeful about the economy now than they were in the third quarter, but both groups remain worried about their own finances, according to a survey released today.
If the government closes, the SEC will send most of its employees home. Another casualty: adviser registrations, which will be halted.
GOP budget cuts could end up declawing financial reform, the SEC boss warns
Agency's much-anticipated report on adviser oversight fails to offer single approach; controversy ahead
The new chairman of a House subcommittee with jurisdiction over investment adviser issues is holding his fire on two crucial questions effecting the industry — until he reads upcoming reports addressing the topics.
