Regulatory
FINRA Litigators Got Tougher After The Credit Crash, But The SEC Loses More Cases
Lawmakers are complaining about how the SEC has a weaker enforcement track record than FINRA. New numbers will only give them more ammunition.
Former SEC Lawyer Tells Congress Madoff Conflict-Of-Interest Charges Against Him Are Overblown
David Becker claims he did everything by the book. Mary Schapiro herself defends him. What really happened at the SEC?
Mary Schapiro Takes New Findings On Former Top Lawyer's Madoff Conflict Of Interest "Very Seriously"
The head of the SEC, Mary Schapiro, is planning to follow through on all the recommendations found in a newly released internal investigation into the way the regulator's general counsel handled his connection to Bernard Madoff.
CFP Board Derides Arguments That Fiduciary Standard Narrows Investor Choice
The top spokesperson for the CFP Board is not a fan of broker-driven debate over whether the fidicuary standard will force smaller investors to manage their own accounts.
Video: Congressional Panel On Advisor Regulation
If you'd like to watch yesterday's Congressional hearing on whether brokers should be fiduciaries and who should oversee registered investment advisors, here it is.
