House Dems Call for SEC Crackdown on Corporate Anti-Whistleblower Practices
Lawmakers say “overly restrictive nondisclosure agreements,” for example, threaten the SEC's whistleblower program.
SEC’s White Pleads for Advisor Exam Funds; Rep. Waters ‘Pushing Hard’ for User Fees Bill
In 2004, the SEC “had 19 examiners per trillion dollars in investment advisor assets under management,” says White. “Today, we have only eight.”
White, Borzi and Legislators Focus on Fiduciary
Less than a month apart, the women behind the crafting of fiduciary rulemakings at the Department of Labor and the Securities and Exchange Commission made some definitive comments about their respective proposals.
SEC’s Gallagher: Fiduciary Rule Likely Not Coming
Phyllis Borzi calls DOL's fiduciary redraft "No. 1 priority"; SEC Commissioner Daniel Gallagher adamant that the commission lacks the votes to make a rule.
House Financial Services Releases List of Democrats to Fill Six Subcommittees
Rep. Barney Frank, D-Mass., Ranking Member of the House Financial Services Committee, has announced the Committee’s six subcommittee Ranking Members along with the Democratic members of those committees.
Life Insurance, Annuities Excluded From CFPA Oversight
"Business of Insurance" definition is clarified.