Paula Drake has been appointed an Associate Director to serve as Chief Counsel and Chief Compliance and Ethics Officer in the SECs Office of Compliance Inspections and Examinations

Norm Champ has been appointed director of the SECs Division of Investment Management, succeeding retiring division head Eileen Rominger.

All the effort and expense to obtain expungement of CRD allegations may be for nothing; brokers and lawyers want the SRO to broaden discretion.

Boomer women say they discuss finances, but fathers tend to help with big purchases, tapping their own retirement savings to do so.

A bipartisan agreement was reached late Wednesday on a federal highway bill that includes provisions to prevent student loan rates from doubling as well as makes adjustments to defined benefit funding requirements.

Passage of bill to allow for user fees to fund advisor exams in lieu of SRO very unlikely, says FINRA's VP of regulatory policy.

Following trends can be the best way to work with alternative investments, says the CEO of Longboard, an alternative asset management firm.

Burns, who is now director of fund research for the firm, said he believes investors are looking for broader solutions in the ever-expanding ETF space.