NEW YORK — As the May 14 deadline looms for the Securities and Exchange Commission to appeal the overturning of the broker-dealer exemption rule, supporters and opponents of the rule have been busy making their case in the court of public opinion.
NEW YORK — Insurers are launching marketing blitzes to win the investible assets of the wealthy, but many will fail because they don’t understand how rich people think, some consultants say.
OTTAWA — Recent research indicates that those who fear a “hollowing out” of the Canadian economy through foreign takeovers of domestic companies (InvestmentNews, Nov. 6) may have good reason.
BOSTON — Fundamental indexing — touted as a “better mousetrap” alternative to capital-weighted market indexes — won’t necessarily catch more mice, according to Harvard professor Andre Perold.
NEW YORK — Active managers that thrive on volatile markets soon may get their day in the sun. Recent data from Wilshire Associates Inc. in Santa Monica, Calif., show just how long those managers have waited.
NEW YORK — Chinese regulators have begun limiting the amount of money that asset managers can raise during a fund’s launch period, generally to about 10 billion renminbi ($1.3 billion).
OTTAWA — Richard Nesbitt, chief executive of TSX Group Inc., is touring 10 U.S. cities to try to drum up new listings for the Toronto Stock Exchange.
No matter how you are registered and regulated, you can’t afford to turn a blind eye to the breaches of your clients who are fiduciaries — investment committees of retirement plans, foundations and endowments, and trustees of personal trusts.
The Women’s Retirement Security Act of 2007 was introduced in the Senate yesterday In an effort to help women save for retirement.
The end of the broker-dealer exemption rule will create a great opportunity for registered investment advisers to build out their firms, said J. Thomas Bradley, president of TD Ameritrade Institutional, speaking in Chicago today.
