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SEC needs to move on investor education

February 14, 2005

The progress of the Securities and Exchange Commission's investor education program has been delayed amid disagreements over how it should be run. As its primary mission is to "protect investors and maintain the integrity of the securities markets,"...

Grasso was greedy, NYSE was oblivious

February 7, 2005

A recent development in the lawsuit against former New York Stock Exchange chairman Richard Grasso has to leave many questioning the business judgment at the Big Board. The NYSE long refused to release a confidential document known as the Webb...

SEC needs to give industry a timeout

January 31, 2005

It is time for a regulatory breather. As soon as the Securities and Exchange Commission clears a few morsels off its regulatory plate, it should back away from the table and take at least a short nap to allow the financial services industry...

Advisers must understand psychology

January 24, 2005

Advisers must understand psychology Financial advisers and planners will be more effective at helping clients if they get a strong handle on investor psychology. While there has been growing interest in the psychological component of the investment...

Persuading clients to save for retirement

January 17, 2005

President Bush is pushing for Social Security reform as a key part of his second-term agenda, but there is no certainty he will achieve it. Democrats in Congress and outside will strongly oppose his efforts to allow younger workers to divert...

Online roadshows: Net gain for investor

January 10, 2005

If approved this year, the Securities and Exchange Commission's proposed new rules for initial public offerings of stock would make it easier to use the Internet to disseminate information. The proposed rules would allow company officials to...

A financial services wish list for Santa

December 20, 2004

Dear Santa, We have been good, and we have tried to be nice. So here is our wish list of Christmas gifts we would like to receive, not necessarily on Christmas Day but sometime not too late in the new year: First, give us final SEC decisions...

Corporate sweetheart deals sour investors

December 13, 2004

The American corporate culture needs some serious improvement. There's growing investor concern in this country about excessive executive payouts and in general whether companies are being as transparent as they could be. One needs to look no...

Industry must take responsibility for lapses

December 6, 2004

Just when the mutual fund industry seemed to have put the market-timing and late-trading scandals behind it, word of another investigation has surfaced. This time, investigators reportedly are checking into whether brokers used lavish gifts...

SEC has it right about market governance

November 29, 2004

The Securities and Exchange Commission has taken a major step in the right direction in its effort to look at strengthening the governance of the nation's stock markets. Voting unanimously, the five SEC commissioners agreed to publish a so-called...

Why fine companies for officers' misdeeds?

November 22, 2004

Three cheers for Paul Atkins and Cynthia Glassman. They are two commissioners who voted against the imposition of fines by the Securities and Exchange Commission against publicly traded companies for misleading or erroneous accounting and other...

SEC needs two tiers of adviser rules

November 15, 2004

It's time for the Securities and Exchange Commission to realize one size does not fit all, even in securities regulation. It should develop two tiers of regulation for the investment management/investment advisory industry, with a higher level...

SEC pushes hedge funds into the sunlight

November 8, 2004

The Securities and Exchange Commission has won its fight to extend its oversight to hedge funds, passing regulations that have been opposed by the $870 billion industry. The SEC's controversial plan to regulate hedge fund managers as investment...

3 key issues for the government to address

November 1, 2004

Financial planners and investment advisers laid out a list of the issues that most concern them in the Oct. 18 issue of InvestmentNews. That list is also a list of the key issues the government must address in the near future. Topping the list...

Memo to feds: Let the FASB do its job

October 25, 2004

The Financial Accounting Standards Board, which announced a six-month delay in its plan to adopt a new standard for stock options expensing, must not buckle from the continued pressure exerted by both big business and regulators. The Norwalk,...

Compliance chiefs aren't SEC spies

October 18, 2004

The Securities and Exchange Commission has assured financial services companies that it won't play "gotcha" based on the first annual reports of their newly appointed chief compliance officers. It must abide by that assurance. To do otherwise...

Hone compliance to guard investor trust

October 11, 2004

Increased regulatory scrutiny has become a part of the financial services landscape. And things are only going to continue to heat up as advisers and broker-dealers face a growing number of compliance issues. Therefore, financial experts should...

CFP Board should recognize fiduciaries

October 4, 2004

It is time for the Certified Financial Planner Board of Standards Inc. to recognize that CFPs, when acting as financial planners and investment advisers, are fiduciaries. The Denver-based board should acknowledge this fact in its ethics code...

Memo to SEC: Time to ban 12(b)-1 fees

September 27, 2004

Although the Securities and Exchange Commission has yet to complete its investigation into 12(b)-1 fees, some industry observers predict that the probe will be the final chapter for the fees and other transfer payments. It should be the final...

U.S. must budget now for longer term

September 20, 2004

It is time for the federal government to adopt present-value accounting for its long-term liabilities. Present-value accounting would estimate the value of all long-term commitments made by the government to retirees, for example, and then calculate...

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