Timing of SEC Fiduciary Rule in Flux
SEC Chairman Schapiro says agency's economists plan to ask public for more data on retail financial advice. How long will this take?
Internal Changes at SEC’s Exam Division
As uncertainty remains in the debate over whether an SRO should oversee advisors—and a new option of using outside auditors for advisor exams in lieu of an SRO was recently thrown into the mix—changes are afoot within the SEC’s exam division.
Senate to Grill SEC Chiefs at Oversight Hearing
A Senate Banking Subcommittee plans to hold a hearing on Nov. 16 on management and structural reforms at the SEC, with Robert Khuzami and others facing off with the Senators.