Table of Contents

Issue Date: October 28, 2012


Bad news for Lerner in REIT flap

By Bruce Kelly

David Lerner Associates Inc. isn't out of the legal woods despite the stiff sanctions leveled against it last week over the firm's sale of nontraded REITs and municipal bonds.

Who will be Schapiro's successor?

By Mark Schoeff Jr.

With Mary Schapiro expected to step down at some point after the election, speculation has begun as to who might replace her as SEC chairman. The job won't be easy, as the next SEC leader must corral an increasingly contentious

No matter who is president, jitters will persist

By Jeff Benjamin

The presidential election is only eight days away, but don't expect the knowledge of who will inhabit the White House for the next four years to cure a bad case of market jitters that has infected the stock market. That is because

Short Interests


Time to end regulatory dillydallying

Uncertainty about the future weight of regulations making their way through the bureaucratic maze in Washington is harming the banks, their clients in corporate America and economic growth.

Other Voices

Letters to the Editor

Fiduciary Corner

Investment Strategies

Practice Management

Retirement Watch

Succession Planning

News for Financial Advisers

Technology Update


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