Wall Street lawyers are lobbying Congress to get the S.E.C. more money to do its job, and even pushing to give it the ability to set its own annual budget, writes Andrew Ross Sorkin in the ...
An interview I did with Daylian Cain, a professor at the Yale School of Management, on the risks of relying on disclosure to deal with conflicts of interest from Registered Rep.'s February print issue.
In a Dodd-Frank mandated report due out to Congress on Jan. 17th, made available online today, the Government Accounting Office concluded that financial planners do not need to their own regulatory regime as separate from b/ds and investment...
And another one from Ritholz. A very different kind of list : the independent financial experts who think that the biggest banks are too big and are hurting our economy. ...
Some of the scams on this list, your wealthy clients aren't likely to fall for, like the too-good-to-be-true jobs for stay-at-home moms. But others, they might, like resale of that time-share, "free" trial offers that require a credit card, bogus...
