Judiciary Committee

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  New Rules for California FAs, BDs Clears Hurdle

  By Janet Levaux, AdvisorOne  |  June 23, 2011

  The Financial Services Institute is lobbying for an exemption for financial advisors from the independent-contractor legislation.

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  California Advisors, BDs Could Face New Employment Rules

  By Janet Levaux, AdvisorOne  |  June 21, 2011

  FSI is lobbying against new regulation of independent contractors in the Golden State

• Senate Panel Eyes Combating Fraud After Enron’s Skilling Set Free

  By Joyce Hanson, AdvisorOne  |  September 29, 2010

  The Senate Judiciary Committee held a hearing on Tuesday examining the U.S. Supreme Court decision that vacated the conviction of former Enron executive Jeffrey Skilling.

• Hearings, the SEC, the Fed, and Earnings: Advisor Briefing for the Week of July 19, 2010

  By James J. Green, AdvisorOne  |  July 19, 2010

  What's happening this week.

• Protect Yourself

  By Melanie Waddell, AdvisorOne  |  July 1, 2007

  When it comes to protecting themselves from disgruntled clients and the long arm of regulators, advisors and their broker/dealers have to be on the ball....

• Aguirre, Lawyer React to Morgan Stanley Announcement

  By Staff Writer  |  July 24, 2006

  WASHINGTON (HedgeWorld.com)--The U.S. Securities and Exchange Commission is looking into possible insider trading at Pequot Capital Management, has asked the chief executive of Morgan Stanley, John Mack, for an interview, and has thereby given Gary Aguirre an opportunity to claim some measure of vindication. The New York Times reported the...