The task before Congress looms large: restructuring the financial regulatory system to prevent another market meltdown. Lawmakers are being urged to close regulatory gaps, harmonize ...
The numbers don't lie. The SEC took action last year to curtail naked shorting and newly released data by the agency show a dramatic fall ...
Disgraced investment adviser Bernard Madoff pleaded guilty March 12 to 11 felony counts of securities fraud and was sent to jail pending a formal sentencing ...
If a trader produces more than one trade error a week or if a specific client's account suffers multiple trade errors within a few days, ...
Reports from across the country describe a pattern of almost frenetic activity by SEC examiners visiting investment advisory firms in recent weeks. The top issues ...
If you get a call from someone purporting to be an SEC examiner asking for documents for an "emergency" exam, ask for the caller's name, ...
You're encouraged - if you don't have one already - to come up with a written definition for risk that can be used across the ...
That recent no-action letter from the SEC loosening restraints on past-specific recommendations revolved around how to present your data (IA Week, Dec. 1, 2008). The ...
Scenario: Say your firm resides in Pennsylvania and one of your best clients moves to Massachusetts. Well, you better know about and comply with Massachusetts' ...
Congress may wish to authorize a new financial regulator to oversee systemic risk but it won't act with haste. "We've got to take our time. ...