A recent addition to the staff of Securities and Exchange Commission Chairman Gary Gensler has one Republican lawmaker worried the agency will try to overhaul the broker standard of conduct. Rep. Ann Wagner, R-Mo., pressed Gensler during a House Financial ...

A significant loss to my source list is now the Securities and Exchange Commission’s gain when it comes to oversight of investment advisers and brokers. The agency last week announced that Barbara Roper, director of investor protection at the Consumer ...