The tables weren't circular but the discussion was lengthy at the SEC's roundtable on short selling last week, in which speakers gave Commissioners various opinions ...
Investments in mutual funds in 2008 dropped 20% to $9.6 trillion from $12 trillion the previous year. The numbers for closed-end funds and UITs suffered ...
In reforming financial services regulation, Congress should set up a new oversight board that would report to the SEC and be responsible for setting and ...
Tougher rules regarding custody, surprise exams by CPAs and a mandated, independent compliance audit are among the proposals the SEC is considering, says Chairman Mary ...
A widening probe of fraud tied to New York's largest pension fund has snagged Saul Meyer, who founded one RIA and has ties to another. ...
The legal actions spawned by the Bernie Madoff scam keep coming. In an amended complaint filed against Fiserv, lawyers claim RIA RogersCasey - acting as ...
The SEC has announced that it will hold new IA CCOutreach seminars beginning May 11 and ending in July in 10 cities stretching from Miami ...
The damage from the current financial meltdown cost the U.S. at least $10 trillion-$15 trillion and the world up to $35 trillion, according to Rep. ...
At least four separate communications to the SEC raised concerns about Bernard Madoff as early as 2003, according to internal agency documents obtained by IA ...
The tough economy has claimed its share of casualties and some advisory firms are among them. The fiduciary duty inherent in the profession binds firms ...
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