Feb 9, 2015
Where Virtus stands after F-Squared seemingly led it astray, to mutual benefit
The Hartford, Conn. firm is raising no alarms with investors but a handful of Virtus ex-employees are expressing confusion about how it all went down
Tag
SEC
174 articles
Articles tagged "SEC"
Page 3 of 12Jan 27, 2015
How the alternative investments category got bastardized and why that's a shame
A decade on, the investment industry is fast destroying a promising asset class
Jan 6, 2015
How Howard Present parlayed an intern's algorithm into a small fortune -- and when the SEC says he knew of a mega-disconnect
The SEC alleges that the former F-Squared CEO engaged in a massive cover-up with lies, and the fabrication related to faulty backtesting
Dec 10, 2014
Persecuted Mark Cuban prosecutes the SEC and wins some mea culpas from Christopher Cox
Many RIAs say the riveting conversation between Mark Cuban and Chris Cox was perhaps the best event session ever
Nov 13, 2014
Michael Bloomberg steals the SIFMA NYC show by putting his finger on a great robo shortcoming
The Bloomberg founder dismisses auto-advice amid human brokers who cheered SIFMA's ability to keep change in check
Sep 19, 2014
Can advisors keep their dirty compliance laundry in the closet thanks to lack of NASAA, SEC and FINRA coordination?
Mostly not but Jack Waymire and Brian Hamburger flesh out the issue with the right questions and answers
Jul 21, 2014
Spencer Bachus's amazing turnabout from RIA villain to white knight and the miserable state of Dodd Frank's advancement of fiduciary care
Once presumed to be in FINRA's back pocket, the Alabama congressman co-sponsors H.R. 1627 -- a huge boon to SEC oversight of RIAs
Jun 23, 2014
Why most RIAs bent on launching in-house ETFs should swallow hard and start a mutual fund
What makes exchange traded funds so great for consumers can cut the other way if you try to compete with BlackRock
May 9, 2014
$5 billion and $12 billion RIA principals tell worthy anecdotes (hint, Madoff), reveal secrets, to Barron's moderator at IMCA
Paul Tramontano and Ric Edelman topped a bill that offered a barn-burning tax talk from Kitces
May 7, 2014
How to ace the grueling Series 65 exam and keep your wits and your nerves intact in the process
All-nighters are not recommended for the 130-page, FINRA-administered test but up to 45 hours of study is
Mar 21, 2014
Why I use target date funds for some 401(k) clients in my RIA but with exaggerated scrutiny and care
The set-and-forget products have enormous potential for good but may also be a fiduciary nightmare
Dec 17, 2013
How the SEC has pulled a vanishing act, looking the other way while brokers with flimsy pretenses hold themselves out as trusted advisors
The federal keeper of the standards has stopped battling brokers from calling themselves 'wealth managers', advertising 'trust' or looking the other way on principal trades
Nov 14, 2013
Alleging gambling habits, SEC concerns and steady AUM declines, The Mutual Fund Store is offering $5.5 million to Jeff Roper to sell and walk away
What Adam Bold wants, he says, is to force a settlement to keep the reputational fire from spreading out of control
Nov 13, 2013
After starring in New Yorker article, Mary Jo White holds SIFMA event spellbound and 'no-admit, no-deny' is still in play
The muscular prosecutor of security fraud and terrorism cases delivered roses -- and maybe some thorns
Aug 12, 2013
An X-ray of one affluent, educated and sophisticated investor's portfolio shows how it was chewed up by fees
Helping an ex-Fortune 500 retiree prepare for her appearance before Congress, the author waded through a mountain of paper only to discover that the woman was likely to outlive her portfolio