The SEC Is Broken
A decades-old law and the origin of new commissioners stymies consensus building and rulemaking at the Securities and Exchange Commission.
New Hire Roundup: SIFMA Elects New Board Officers
Meanwhile, global law firm Ropes & Gray announced that Debra Lussier has been promoted to a partner in the firm’s private investment funds practice
Fitness, Consumer Sectors Thriving in Middle East, North Africa
Private equity funds are leaping into fitness, education and other consumer-focused sectors in the MENA region.
ERISA at 40: ‘Terrible’ or ‘A Job Well Done’?
While terms used to describe ERISA include “horrible” and “terrible,” a panel of experts agreed Tuesday that the law has had a positive impact.
ASPPA Names Keck President
Kyla Keck, a principal of SageView Retirement Plan Consultants and SageView Advisory Group in Knoxville, Tennessee, named ASPPA's new president at annual conference.
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.