Securities And Exchange Commission (SEC)
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SEC moves to halt pyramid scheme promoted through Facebook, Twitter
Regulator freezes assets of overseas firm that had bilked $300,000 from 15 U.S. investors.
Prepare early for regulatory exams
Why should an ad- viser spend time preparing for a regulatory exam? Only about 60% of SEC-registered investment advisory firms have undergone a compliance examination. Congress blusters about holding the Securities and Exchange Commission accountable to do more but simultaneously denies funding ...
IRI leadership feels good about 'trajectory' of DOL fiduciary rule
Leaders of a key financial industry lobbying organization emerged from meetings with lawmakers this week confident that their worries about a pending Labor Department investment advice regulation are being heard. John L. Carter, president and chief operating officer of Nationwide Financial, and
Gold rides high on the taper effect
Friday's menu: Gold rides high on the taper effect, playing smart defense with a wide-moat ETF, blaming cold weather in February, stirring the income inequality pot, why you should complete your LinkedIn profile, and the SEC shows some love.
SEC off to aggressive start in 2014, but can it follow through?
The SEC's recent whirlwind of regulatory warnings prompts the question of whether it is biting off more than it can chew.
Regulators train a close eye on alternatives
The SEC and Finra are getting tough on broker-dealers, putting intense focus on those recommending and selling alternative investments, including nontraded REITs. Don't Miss: Our full look at the SEC's 2014 priorities
SEC must step up, whatever its funding
The Securities and Exchange Commission was dealt a significant blow last week when the House and Senate approved a $1.1 trillion spending agreement that will fund the regulator at $1.35 billion, which is
Institutional investors moving more cash to diversified strategies
Friday's Breakfast with Benjamin featuring what big investors are doing with their cash. Plus: Bracing for an SEC exam, robo-adviser asset-gathering update, stocks to watch next week, and more ways to spend bitcoin.
SEC eases, clarifies muni adviser registration requirements for RIAs, BDs
Those who provide local governments with advice on derivatives won't have to register.
SEC takes deep dive on conflicts of interest
Wrap fee accounts, rollovers and dually registered advisers crown list of examination priorities for 2014
Rubber meets the road on Fed tapering
Breakfast with Benjamin: Did the Fed make the right move with tapering? We'll know this week. Plus: Hot stocks for cold weather, missing out on the market, consumer sentiment looks bright, office vacancy rates still hurting, and the minimum wage debate.
Consumer, investment adviser groups push lawmakers to support bill to boost adviser exams
Seven lobby groups representing investment advisers and consumers are urging lawmakers to sign on to legislation that would charge advisers a user fee to fund more regulatory exams.
Look out below: T. Rowe Price warns of correction in the New Year
Today's Breakfast with Benjamin: T. Rowe Price warns of correction, Deutsche Bank bans chat rooms, the first-ever hedge fund ad debuts, big banks sweating over the looming Volcker rule, and EU Commission levies heavy fine for rate rigging.
SEC puts fiduciary duty on 2014 agenda as 'long-term action'
The Securities and Exchange Commission is pursuing a rule that would raise investment-advice standards for brokers — just not in the near future. But that's enough to give fiduciary-duty advocates hope.
Markets brace for housing, consumer confidence data
Today's Breakfast with Benjamin: Markets brace for big economic data, insider selling at 30-year high, SEC tries to get tough, measuring Fed-speak, and how to behave at the company holiday party. Curated by InvestmentNews' senior columnist Jeff Benjamin
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February 27, 2014