The U.S. Securities and Exchange Commission is investigating more cases resulting from the financial crisis, according to its chairwoman, who said the Dodd-Frank financial services reform bill passed this week will help.

A government watchdog group has sent a letter to congressional committees in charge of financial oversight asking them to challenge the government’s reliance on financial self-regulatory organizations like the Financial Industry Regulatory Authority (FINRA).

The chairwoman of the U.S. Securities and Exchange Commission is warning broker-dealer firms to be careful with their recruitment efforts, especially when they involve up-front bonuses and other inducements.

Mary …  Read →

A group representing investment advisors is asking the U.S. Securities and Exchange Commission to keep the Financial Insurance Regulatory Authority (FINRA) from expanding its regulatory authority by getting involved in …  Read →