SEC Names Martinez Chief of Market Intelligence
The SEC announced Tuesday that Vincente L. Martinez has been named Chief of the Enforcement Division’s Office of Market Intelligence, which collects and evaluates the tips, complaints and referrals that come into the agency.
Sentimental Fools: Pity the Poor Mutual Fund Investor
Mutual fund investors exhibit remarkable skill when selecting mutual funds--remarkably awful, that is. How an advisor can help underperforming fund investors avoid sentimental pitfalls.
CFP Board Names Aikin, 2 Others to Board of Directors
The CFP Board announced Thursday that it had elected three new directors to the Board of Directors at its Fall 2012 meeting: Blaine F. Aikin, Arthur Laby and Thomas Nelson.
SEC Names Blizzard to Head Investment Advisor Regulation
The SEC has named Diane Blizzard associate director for regulatory policy and investment adviser regulation in the Division of Investment Management, replacing Robert Plaze.
Internal Changes at SEC’s Exam Division
As uncertainty remains in the debate over whether an SRO should oversee advisors—and a new option of using outside auditors for advisor exams in lieu of an SRO was recently thrown into the mix—changes are afoot within the SEC’s exam division.
Gallagher Sworn In as SEC Commissioner
The Securities and Exchange Commission announced on Monday that Daniel M. Gallagher has been sworn into office as an SEC commissioner.
Forget Advisor SRO; Use External Auditors for Exams, Academic Study Urges
A Georgetown business school professor offers another option in lieu of an SRO for advisors: outsourcing routine advisor exams to external third parties, such as accounting and consulting firms.
Top 10 Best Cities for Educated Job Seekers
In a tough job market it always helps to know some of the best places to find work. More educated members of the labor force will find more opportunities in some of these cities, where the demand for education narrows the field of applicants.
Bernanke on Occupy Wall Street Protesters: ‘Can’t Blame Them’
The Occupy Wall Street movement has some found legs, and Ben Bernanke, the Fed chief, seems to be at least a bit on the side of the protesters, as labor unions have now joined the demonstrations in New York.
American Women Are Stronger Believers Than Men in Power of Supporting Causes
American women are strong believers in the power of individuals to make a difference by supporting causes, while American men are more likely to view supporting causes as a fad, according to new data released Monday by Ogilvy Public Relations Worldwide and Georgetown University's Center for Social Impact Communication.