Mercatus’ Peirce Said to Be Leading Candidate for SEC Seat
Hester Peirce, a fellow at George Mason University’s Mercatus Center, is the leading candidate to replace Commissioner Daniel Gallagher, sources say.
IAA Names Grohowski General Counsel
He will replace IAA's longtime general counsel, Karen Barr, who became the association’s new president and CEO in November.
SEC Names Grim Acting Director of Investment Management
David Grim has served as deputy director of the division for the past two years.
15 Colleges With Best Paying Graduate Degrees: 2014
Is a master's degree worth the steep cost? That depends partially on where you choose to get it.
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.
Thomas Giachetti, Stark & Stark’s Legal Celebrity: The 2014 IA 25 Profile
Tim Welsh of Nexus Strategy likes to call Giachetti the only “celebrity securities attorney,” but Giachetti says he “never wanted to be a lawyer.”
FINRA Enforcement: Arbitrator Dismissed for Phony Credentials
In addition, both J.P. Morgan Clearing and J.P. Morgan Securities were hit by FINRA with censures and fines.
The Truth About Insurance Brokers Who Sell Annuities
Do insurance brokers objectively read annuity prospectuses and assess them in the same way fiduciary advisors do, or are they just selling a product?
SEC Names Goodman National Associate Director of BD Exams
The SEC has named Kevin Goodman national associate director of the broker-dealer examination program in the Office of Compliance Inspections and Examinations.