SEC Tightens Rules on Credit Rating Agencies, Asset-Backed Securities
“ABS issuers and rating agencies will be held accountable under significant new rules governing their activities," said SEC's White.
What's Next for the Fiduciary Standard?
While the industry awaits a decision by the SEC on whether it will move forward with a uniform fiduciary rule for brokers and advisors, fiduciary advocates will engage this month in a debate about the importance of the two fiduciary rulemakings being considered by the SEC and the DOL.
Kickstarter: The Rosie the Riveter of Investing?
Two recent studies report women have higher rates of success than men in funding their projects through crowdfunding sites like Kickstarter and Indiegogo.
Industry Gears Up for Fiduciary September
Advisors are beginning to think that if regulators won't move forward on fiduciary rules, maybe the profession should, TD Ameritrade's Skip Schweiss tells ThinkAdvisor.
Dodd-Frank: Four Years Later
As the fourth anniversary of the Dodd-Frank Act's passage into law hit in late July, regulators and lawmakers aired their opinions about how the financial reform law is working—or not.
Some Money Market Funds Have to Be Honest With You
New SEC rules create a two-tier system: institutions get to know the cold hard truth about their investments' value, but individuals are still coddled.
Barney Frank Cheers FSOC for Role in Money Market Fund Overhaul
Before a House committee, Barney Frank commented on several controversial aspects of his namesake financial reform law, including one that makes him "nervous."
SEC Approves Tighter Money Fund Rules on 3-2 Vote
Among the changes approved by a split SEC: a floating NAV for prime money market funds.
SEC Warned to Halt Money Market Fund Rule Release
Financial Services Roundtable tells SEC to deal with money fund rule's "tax consequences" before moving ahead.
SEC Names Flannery Chief Economist
The SEC said Monday that Mark Flannery will become the agency’s new chief economist and director of its Division of Economic and Risk Analysis.