The SEC Is Broken
The Securities and Exchange Commission has three primary mandates: to protect investors; to maintain fair, orderly and efficient markets; and to facilitate capital formation.
SEC Investor Advisory Committee Mulls ‘Accredited Investor’ Criteria
SEC Chairwoman White also gave an update on the uniform fiduciary standard, target date fund rules and other issues the committee has weighed in on.
SEC Investor Advisory Committee Approves Fiduciary, User-Fee Plans
Recommendation on how brokers should be put under a fiduciary mandate sailed through the full committee Friday, but members voiced concern about user-fee plan.
New SEC Committee to Put Retail Investors First
“Many individual investors feel like they are under siege,” SEC Commissioner Luis Aguilar said at the group's first meeting.
SEC Forms New Investor Advisory Committee
The SEC announced the makeup of its new Investor Advisory Committee, a Dodd-Frank requirement. Among its members: Mellody Hobson of Ariel, Steven Wallman of Foliofn, and Barbara Roper of the CFA.
Garrett Planning Network to Offer Group Benefits to Its Advisors
The Garrett Planning Network, a network of fee-only financial advisors and planners, announced at its annual conference in Denver on Friday that it would begin offering group worksite benefits to its affiliated members.
Like a sharp journalist inducing a subject to open up in an interview or a doctor taking a patient's medical history, Eric Hutchinson knows how...
John T. Tapsak is at wits' end. Since Charles Schwab informed him that it plans to double the fees paid by advisors who custody less...
In a tough marketplace, folio companies shift gear
With Us or Against Us?
Long-time advisor partner Morningstar is getting i