The SEC is weighing a broad overhaul of how U.S. stock and options exchanges regulate themselves as part of a review into whether the current market structure meets the needs of investors.
A draft proposal being considered by a Securities and Exchange Commission advisory group calls for the agency to raise investment advice standards for brokers, based on the law that currently governs investment advisers.
While we focus on other battles of consequence, the House may vote this week to enable the financial services industry to effectively squeeze your IRA or 401(k). And few may notice.
The start of the government shutdown Tuesday is not a welcome development for any federal agency, but the timing is particularly bad for the Commodity Futures Trading Commission.
It’s starting to sink in: the shutdown could last until a debt ceiling deal, which means a couple of weeks.