The New Sheriffs In Town
The New Sheriffs In Town
Jun 29, 2010
Under reform legislation, RIAs with less than $100 million in assets will no longer be regulated by the SEC. State regulators will step in. Will states be more successful than the SEC?
Investors More Sophisticated, but Still Buying and Selling at Wrong Times
Investors More Sophisticated, but Still Buying and Selling at Wrong Times
Jun 28, 2010
In recent years, shareholders have become smarter fund shoppers. But too many still buy and sell at the wrong times, says Don Phillips, Morningstar’s managing director.
The Final Wall Street Reform Bill And You
Jun 25, 2010
After a herculean 20-hours straight of negotiations, Congressional committee members agreed Friday morning to a Wall Street reform package that will be much tougher on the country’s banks.
Vanguard Broadens ETF Platform
Jun 25, 2010
Considered by some to be a latecomer to the ETF party, Vanguard yesterday beefed up its exchange traded fund and mutual fund offerings. The company that made its reputation with low-cost indexed investments said it will launch 19 new index funds...
Congress Says SEC Can Create Fiduciary Standard For Brokers
Jun 24, 2010
Senator Tim Johnson accepted a final counter-offer from the House this afternoon on the subject of fiduciary duty in Wall Street reform.
Too Much Client Hand-Holding, Not Enough Prospecting
Jun 23, 2010
The nervous-client-syndrome has yet to wear off. That’s according to a new survey that says most advisors are still spending the majority of their time with existing clients rather then generating new business.
Section 6621.--Determination of Rate of Interest
Jun 23, 2010
Description...
Section 1274.--Determination of Issue Price in the Case of Certain Debt Instruments Issued for Property
Jun 23, 2010
Description...
Boston Private Builds A Better Balance Sheet
Jun 21, 2010
Is Boston Private Financial Holdings making a comeback? After a string of unsuccessful RIA acquisitions, soured loans at its private bank division, and a drawdown of $154 million in federal TARP aid, the RIA consolidator’s outlook was glum...
The UK Junks Its FSA, When Will We Junk The SEC
Jun 17, 2010
The SEC is a gas-guzzling dinosaur of a vehicle whose engine warning-light went on years ago. It is a wheezing, dyspeptic boiler in our basement. Nothing good will come of this.
Load More