Toward a Workable Fiduciary Standard for Brokers: The 7 Questions
To tell if brokers are really acting like fiduciaries, ask these seven questions about a client's portfolio to check for possible broker abuses.
Fiduciary Best Practices: Talking to the Mailman in Kansas City
While our Best Practices are crafted mainly to help investors evaluate financial professionals, they also serve a larger purpose.
Wall Street's Next Political Storm
Think the fading memory of the financial crisis means Big Finance will take less political heat in the 2016 presidential elections? Think again.
20 Best Ways to Fix Dodd-Frank Act
Former Sen. Chris Dodd says his namesake financial reform law is "working pretty well." But the Bipartisan Policy Center sees room for improvement.
Tibergien, Shea: How Advisors Can Rebuild Industry Image
The Pershing and BNY executives at INSITE outline steps advisors should take to boost business and financial literacy.
SEC’s Schapiro Expects Fiduciary Standard Proposal in 2013
"The passage of time has not discouraged me at all," Schapiro said at SIFMA's annual meeting on Wednesday. "The devil is in the details, but I’m more confident that we will get it done, not less.”
Greenspan to Wall Street: Drop Dead
At SIFMA’s annual meeting in New York, former Fed chairman advocates letting big banks fail.
Hedge Fund Managers Charged With Ripping Off Investors, Including a Retired Teacher
The SEC charged one manager with stealing more than $500,000 from a retired schoolteacher who thought she was investing her retirement savings in a hedge fund.
Advice for the Next President; High Returns With Low Risk: September Research—Slideshow
The September issue of Research puts a prime focus on the upcoming election. In "Where Will They Steer Us?" Nicole Gelinas of the Manhattan Institute looks at Wall Street reform. In "A Bold New Direction," Senior Editor Kenneth Silber sketches out a radical tax overhaul. Other highlights of the issue...
On Dodd-Frank’s 2nd Birthday, Should Investors Celebrate?
Individual investors have not witnessed dramatic regulatory changes favoring investors over the past two years, but they seem to be voting with their assets, moving them more toward fiduciary advisors.