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Friday, November 20, 2009
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Letters to the Editor
I appreciated the Just Thinking column that appeared in the Nov. 2 issue (“BrokerCheck could use a checkup”).
Besides raising the assets under management level to $100 million to move firms from state to federal regulation (“Advisers to SEC: Take our money, please,” Oct. 12), the Securities and Exchange Commission could effectively control fraud by having independent clearing firms handle all trade clearing, including the big wirehouses', and have client reports come from the clearing firms, not the broker-dealers.
It was heartwarming to read the Other Voices column by Michael Chamberlain, “Let's call a spade a spade and a salesperson a salesperson,” in the Oct. 5 issue.
As an attorney who frequently advises brokers, broker-dealers and financial advisers, I read the article “Debate over fiduciary duty heats up,” which appeared in the Oct. 5 issue, with interest and some dismay.
I teach “Credit Default Swaps 101” at New York University, and I am a strategist in the global debt markets.
Re: the article “B-Ds reel from higher SIPC fees,” which appeared in the Aug. 10 issue, I too am outraged because my broker-dealer will most likely pass its costs on to me, the little guy.
The editorial that appeared in the July 13 issue of InvestmentNews, “Congress must enact regulatory reforms carefully,” encourages Congress to pass more regulations and legislation to somehow protect the investing public and the financial system in general.
I enjoyed the Other Voices column in the July 20 issue, “What, exactly, does fiduciary really mean?” by Janice J. Sackley, a fiduciary bank risk manager in Kalamazoo, Mich....
I read with interest the article “Compensation: SEC mandate called too broad,” which appeared in the July 20 issue.
I have seen the study referenced in the article “HSA assets grew more than 62% last year, Celent study shows,” which appeared on InvestmentNews.com on June 29.
Regarding the Tech Update column “A Warning Before You Twitter,” which appeared in the June 22 issue, I think that Eric Rosenberg, an attorney and president of Litigation Proofing LLC in Mamaroneck, N.Y., is mistaken in his comment that “there is no technique for retaining [Twitter] and supervising it.”
I have enjoyed reading InvestmentNews for many years because of its straightforward reporting and timely items of interest.
I loved the Viewpoint article “It's time to institute "limited-purpose banking,'” which appeared in the May 25 issue.
What a wonderful, simple long-term solution to our...
I wish to address inaccuracies in the provocatively titled article “Woodbury to pry into the finances of reps, spouses,” which appeared in the June 8 issue.
First and...
As a 25-year veteran of the financial business, I have always shown my clients term insurance for their immediate needs and whole-life insurance through a mutual company for their permanent needs.
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