The Senate last week confirmed FINRA CEO Mary Schapiro as the new chairman of the SEC, elevating someone who has called for beefed up enforcement ...
The advisory profession sustained another black eye with the mysterious disappearance this month of a 76-year-old Florida hedge fund manager who has apparently vanished with ...
The SEC set about last year trying to slay the rumor dragon, targeting the beast that employs false or malicious stories to manipulate securities. Given ...
The lessons from the failure of Lehman Brothers keep growing (IA Week, Nov. 11, 2008). The sad tale recounts the risks to counterparties who believed ...
One of the repercussions of the Bernie Madoff scandal could be an unleashed inspection staff at the SEC. "Clearly the SEC's been burned by the ...
It's unclear if the economy will heat or chill merger and acquisition activity among advisory firms. If your firm's planning or considering such a deal, ...
Look it as a Christmas gift from the SEC. Two days before the recent holiday, an East Coast adviser discovered an e-mail from the agency's ...
The effects of last year may linger as mutual fund directors review your contracts. For example, some may move to change or eliminate the expense ...
It's official. The short-form prospectus for mutual funds is now reality with the SEC's release last week of its final rule affecting mutual funds and ...
If your neck muscles feel a little tighter these days, blame your job.A new study from the Financial Planning Association finds advisers are especially stressed ...