Mary Schapiro is widely expected to leave her post as head of the SEC. The latest sign: She has begun to talk about her legacy as chairman of the commission.
Finra has expelled a securities outfit for allegedly lying to — and defying — the SEC. One claim: the firm's CEO was barred from running the brokerage, but continued to do so anyway.
Former Presidential candidate taking over as CEO of financial services lobbying group
Muni adviser reform fast-tracked after committee consensus reached; possible blueprint for SRO proposal
In looking at the details, it's hard to figure why the financial services industry fought to kill Dodd-Frank.
From magical tax loopholes to protectionist dogma, the GOP
As the Financial Industry Regulatory Authority Inc. begins its sixth year of existence, the perception of its relationship to the market it oversees has taken on new importance. Its self-description as an “independent regulator” has drawn new scrutiny in recent months, after legislation that would establish one or more self-regulatory organizations for investment advisers was introduced in the House. Finra is lobbying fiercely on behalf of the bill and covets the role of the adviser SRO.
A major law firm has pitched the Labor Department a program that would let broker-dealers and other service providers admit to and fix their fee disclosure errors without incurring the wrath of the agency.
If elected, Mitt Romney says he will cut out all investment taxes on the middle class. Great news for advisers, right? Right?
Massachusetts has filed a complaint against a midsize adviser for allegedly misstating assets under management.
June 28 is the day for advisers managing $25M-$90M to sign on for state oversight
In the first presidential debate on Wednesday night, Republican presidential nominee Mitt Romney did something that he's resisted since he began his quest for the White House 18 months ago. He embraced his Inner Massachusetts. That moved him to the political center, where investment advisers reside.
Say debate clearly won by the Republican presidential candidate; 'extremely strong'
