SEC Responds to Market Volatility by Ramping Up Bond-Fund Exams
Surging market volatility is making regulators increasingly concerned that bond funds have loaded up on hard-to-sell assets.
ETFs: An Industry Prone to Innovation
Innovation and ETFs are often spoken of synonymously. It is a badge worn proudly by those in the ETF industry who use it to differentiate themselves.
IAA’s Barr to Replace Tittsworth as President, CEO
Karen Barr will become the IAA's new president and CEO, replacing David Tittsworth, who has led the association since 1996.
SEC Announces 3 Senior-Level Appointments
SEC announced this week a new administrative law judge and two other personnel moves.
12 Worst Financial Advisors in America: 2014
Stealing huge sums from clients and bilking military veterans and disaster victims are just some of these advisors' egregious actions.
Would Your Firm’s Cybersecurity Policy Meet Regulatory Muster?
Law firm Stark & Stark has teamed with Right Size Solutions to ensure that its 900-plus advisory firm clients’ cybersecurity policies withstand regulatory scrutiny.
Brooklyn Man Passed Illicit Stock Tips on Napkins: SEC
The SEC charged a Brooklyn man with passing tips at Grand Central Terminal as the middleman in a $5.6 million insider trading scheme.
SEC, CFPB Enforcement: AgFeed Fined $18M for Fattening Its Stock Price
Meanwhile, the CFPB sued for-profit chain Corinthian Colleges for predatory lending, and a hedge fund manager was charged with pocketing extra fees.
Insider Trader Mostly Unfazed by Co-Worker's Insider Trading Arrest
We present for your reading pleasure: the worst way to insider trade.
New Hire Roundup: Putnam Names Gould Head of Institutional Management
In another personnel move, Mariner Wealth Advisors has added ex-NFL quarterback Mark Vlasic as a senior wealth advisor.