Displaying 138 results
Financial planners will find an open lane when focusing on client values
Older advisers in particular are missing the mark when it comes to the softer side of client relations
RIAs registered with multiple states get more time for help
RIA firms that must switch from Securities and Exchange Commission to state oversight this year have another month…
Money funds ain’t broke, don’t need fixing
A bit of advice to SEC Chairman Mary Schapiro, who has made it abundantly clear that she intends to make further changes to regulations governing money market funds: Quit while you are ahead.
Why Allen Stanford could increase advisers’ costs
The day after R. Allen Stanford was convicted of operating a $7 billion Ponzi scheme, members of Congress pressed officials of the Securities Investor Protection Corp. to reimburse his victims.
Adviser pricing transparency is coming
Faced with a dearth of reliable data on the fees and commissions being charged for advisory services, many…
Bipartisan support for SRO in question
Proponents of legislation that would shift the oversight of investment advisers from the Securities and Exchange Commission to…
SEC reviews internal watchdog’s video interview
The Securities and Exchange Commission's internal watchdog has come under scrutiny for comments he made in a 75-minute…
Fund firms want out of the pool
The Investment Company Institute and the U.S. Chamber of Commerce have filed a legal challenge to the CFTC's…
Regulators turn up the heat on branch office oversight
Broker-dealers and their independent representatives are feeling the pinch of tougher oversight. Regulators have issued several warnings…
Small steps toward greater diversity in the advice business
Glance around most financial advisory conferences, and it is hard not to notice that white men greatly outnumber the women and minorities in the room.
SEC eyes avalanche of options traffic
A tsunami of ever-speedier quote traffic is swamping options ex-changes, leading the Securities and Exchange Commission to take steps toward reining in increasingly aggressive high-frequency traders
N.Y. adviser bilked investors, bought a beach house: SEC
A New York investment adviser used some of the $74 million he raised from investors from 2005 through…
Fund group warns of $1,000 shares
Investors can say goodbye to $1 shares of money market funds and hello to $100 or even $1,000…
SEC’s Schapiro on preventing another crisis
The following is an edited version of remarks made by Securities and Exchange Commission Chairman Mary Schapiro at…
Plaze worries about money fund contagion risk
Past events plague Robert E. Plaze, deputy director of the Securities and Exchange Commission's Division of Investment Management,…
SEC’s Walters: Stop carping
Securities and Exchange Commissioner Elisse Walter would prefer that firms kept their thoughts on money market fund reform…
SEC critics see exam process as opaque
The Securities and Exchange Commission's effort to make its investment adviser examination program more efficient is taking on…
Schapiro: SEC would use funding to bolster exams
Most of the hiring that the Securities and Exchange Commission would do if it got the budget increase…
Jed Rakoff : A Judge in a league of his own
U.S. District Judge Jed Rakoff shows no signs of letting up on the SEC, refusing to rubber-stamp its proposed settlements, questioning whether its policies are in the public's interests — and doing it all with more than a touch of wit and eloquence.
Reforms would hurt money funds, critics charge
The Securities and Exchange Commission is weeks away from issuing a proposal to reform money market funds —…
