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In February, Registered Rep. will introduce a new monthly column, “The Ethical Rep,” perhaps the first of its kind in the securities industry. A team of more than 30 prominent securities attorneys, law school professors and industry...
The “information highway” can quickly become the road to ruin for some unwitting investors, according to Stephen Harbeck, president of the Securities Investor Protection Corporation (SIPC). In a conference call held by SIPC, together...
The news came right before the Thanksgiving holiday, so you might have missed it. But let there be no doubt: The mutual fund investigations have now gone nuclear. New York State Attorney General Eliot Spitzer told a U.S. Senate committee last...
It is never too soon to think about year-end tax issues. Imagine that you have the opportunity to take a loss on a stock you own, but, since you like the prospects of that stock over the long term, you could still control the stock. Have you ever...