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‘Never mind’ the SEC’s regulatory mess
Like Emily Litella, the old “Saturday Night Live” character, at the end of one of her confused ramblings,…
LTC industry needs to be investigated
According to the American Council of Life Insurers in Washington, a one-year stay in a nursing home costs…
The Big Four of certification and assessment
Courts and regulators will evaluate your effectiveness as an investment adviser against a process standard — as opposed to a performance standard.
Reporter’s ethical lapse sullies journalism
Week in and week out, InvestmentNews uses this space and the Monday Morning column to challenge financial services…
Ruling’s right, though both sides have a point
This publication always has thought that what is best for the investor is, in the long run, best…
Ruling acknowledges emergence of an industry
As reported here last week, a federal appeals court has struck down the Securities and Exchange Commission’s broker-dealer exemption, stating that the commission lacks the authority to grant brokers broad exceptions to rules that apply to investment advisers.
SEC chief missed the boat at budget hearing
SEC Chairman Christopher Cox needs to remember the old saying, “the squeaky wheel gets the grease.” The…
Subprime meltdown offers a crash course
Portfolio managers, investors and their advisers appear to need a reminder every five years or so that risk…
Fees and expenses: It’s about fiduciary responsibility
One of the most pressing issues in the investment industry today is retirement plan fees and expenses. A lot of questions have been raised about them recently, all of which can be answered simply à la college basketball commentator Dick Vitale: “It’s about fiduciary responsibility, baby!”
The plan participant who was ‘active’ but not eligible
This is the time of the year that most individual retirement account contributions are being made, but they may or may not be deductible. If you are active in a company plan, and your income exceeds certain amounts, then you cannot deduct your IRA contribution. If you are not an active participant, then you can deduct your IRA contribution regardless of your income.
Time to abolish quarterly earnings estimates
The Securities and Exchange Commission should immediately accept one recommendation of a bipartisan panel established by the U.S.
Shareholders should vote on exec pay
Shareholders, who are understandably fed up with outrageous executive-pay packages and underperforming companies, may soon get a voice.
Hedge fund industry’s unease with media is all too obvious
For more proof of the hedge fund industry’s uneasy relationship with the media, consider last week’s inaugural Connecticut…
Unexpected trouble on direct non-spouse rollovers
Transfers to non-spouse company retirement plan beneficiaries under the Pension Protection Act of 2006 are effective for 2007 (InvestmentNews, Jan. 29), but it turns out there may be problems and challenges in obtaining the intended benefits.
A call to embrace tougher standards
Hedge funds may complain, but the Securities and Exchange Commission is on the right track in considering whether…
SEC dragging its heels on point-of-sale rule
The mission of the Securities and Exchange Commission is to protect investors, and maintain fair, orderly and efficient…
Fiduciary show and tell: What does it take to be one?
Around this time of year, secondary schools typically hold a “career day,” and mothers and fathers are coaxed from their workplaces to participate in a “show and tell” with the next generation.
The SEC’s allegiance is put in doubt
The Securities and Exchange Commission has taken two steps that cast doubt upon whose side it’s on: individual…
Advisers best defense against misuse of ETFs
Exchange traded funds have boomed in the past few years. Last year, the number of ETFs climbed to…
SEC’s latest proposal makes no sense
The Securities and Exchange Commission continues to forge ahead in its quest to wrap some kind of regulatory lasso around the $1.2 trillion hedge fund industry. Why it is doing so isn’t entirely clear.
