Perhaps you're asking "what best execution committee?" So let's start there. Create a best execution committee, states J. Christopher Jackson, director and head of U.S. ...
As many firms file their annual Form ADV amendment with the SEC, know the AUM you report at that time will determine whether your advisory ...
Even though the Bernard L. Madoff Investment Securities firm was primarily a broker-dealer operation, the SEC's embarrassment over the scandal has led to a "backlash" ...
A $1 trillion stimulus package may garner the headlines but also emerging from the April 2 final G-20 joint statement is a call to strengthen ...
Reinstate the uptick rule. Leave short selling to the market. Come up with a new solution to what some see as the plusses and perils ...
Accused Ponzi artist Robert Allen Stanford has formally denied the allegations of fraud the SEC has made against him and others in his Stanford companies ...
Massachusetts authorities have charged FairfieldGreenwichAdvisors and FairfieldGreenwich (Bermuda) with securities fraud for failing to perform due diligence and shirking their fiduciary duty to investors. Fairfield ...
Several SEC officials have signaled that the Commission is thinking about imposing a requirement on investment advisory firms to hire an independent auditor to report ...
For seven years Sean Mansfield labored at Financial Counselors, an advisory firm in West Springfield, Mass., where he also served as CCO. Last month authorities ...
Court documents that lay out the assets of Bernie Madoff.