Congressional Activity

Financial regulatory reform from Congress tops the list of predictions for your New Year. As one compliance officer in New York put it, whatever lawmakers ...

Because the SEC was "severely bruised" by the Madoff embarrassment, expect aggressive agency actions to avoid a repeat and more knowledgeable and inquisitive examiners.This was ...

They're not done yet, but they're getting close.The House Financial Services Committee will meet this week to vote on H.R. 3817, known as the Investor ...

A top Democrat in the House is promising to submit legislation that would require the SEC to mandate that brokers daily publish the identities of ...

As Congress begins to dig its hands into the Investor Protection Act, the fight over a fiduciary duty definition heated up last week with a ...

The latest attempt to define a fiduciary duty standard to be shared by investment advisers and broker-dealers didn't inspire any hand-holding by industry representatives who ...

Whatever legislation reforming financial services regulations that comes down from Capital Hill could include a model approach to compliance that mirrors RIAs' method. CCO David ...

As early as November the SEC's Inspector General expects to release another investigative report - this one peering into why OCIE examiners never visited Bernard ...

If you didn't closely scrutinize the House's bill on executive compensation, you may have missed that it would cover investment advisers.The bill passed last month ...

No promises were spoken, but some members of The Committee for the Fiduciary Standard left encouraged after an audience last month with two SEC commissioners ...