Articles tagged "SEC"
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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
December 10, 2014 at 7:10 PM
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
November 13, 2014 at 5:30 AM
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
September 19, 2014 at 5:39 PM
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
July 21, 2014 at 3:40 AM
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
June 23, 2014 at 4:33 PM
$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 9, 2014 at 4:19 AM
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
May 7, 2014 at 5:47 PM
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
March 21, 2014 at 4:29 PM
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
December 17, 2013 at 8:05 PM
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
November 14, 2013 at 8:39 PM
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
November 13, 2013 at 5:03 PM
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
August 12, 2013 at 3:47 AM
What the 8 pillars of a FINRA-replacing entity for RIA oversight look like and how personal accountability is key
First and foremost, the PRO would have as it members individuals (not firms) who are qualified to become members of the profession
July 28, 2013 at 4:11 PM
Why target date funds fail in the one area they're supposed to succeed -- downside protection
SEC recommendations about the inherent risk of target date funds are more controversial than their author's realize, says a veteran risk assessor
July 22, 2013 at 3:40 AM
Why RIAs need to pay heed to a ruling that put a media star and advisor out of business -- and out $300,000
A judge ruled that Ray Lucia lacked the back-up to justify his hypothetical back-tests as the SEC pins a bull's eye on the strategy
