Congressional Activity

Hoping to feed momentum following last month's vote by the Investor Advisory Committee urging the SEC to request user fee legislation (IA Watch, Dec. 2, ...

Although a bipartisan vote in the House last week passed a bill that would exempt private equity fund advisers from SEC registration, the measure's prospects ...

This is the SEC's 2013 proposal related to the JOBS Act that would set up a regime for crowdfunding, offered by broker-dealers and so-called “funding ...

The text of H.R. 2998, The Investor Choice Act of 2013, finally appeared last week. The bill would prohibit mandatory arbitration clauses in both investment ...

Two deceased politicians, Sen. Carter Glass (D-Va.) and Rep. Henry Steagall (D-Ala.), could never have imagined that their names would resurface nearly a century later ...

If at first you don't succeed .... That adage comes to mind now that Rep. Maxine Waters (D-Calif.) has resubmitted her Investment Adviser Examination Improvement ...

This is the text to H.R. 1627, the Investment Adviser Examination Improvement Act of 2013. This bill, sponsored by Rep. Maxine Waters (D-Calif.), would allow ...

Last week senators got their crack at Mary Jo White, President Obama's nominee to head the SEC. The hearing lacked fireworks, suggesting she's a shoo-in. ...

Senators last week heard acting SEC Chairman Elisse Walter estimate the Commission will take action toward its long-awaited proposal on expanding the fiduciary duty standard ...

Rep. Maxine Waters (D-Calif.) promised to produce a bill (IA Watch, May 14, 2012) to counter calls for an SRO for advisers and last week ...