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.
SEC Wants Exchange-Traded Funds to Be Easy to Trade
An efficient-markets-fundamentalism model of the SEC is actually pretty good for predicting what the SEC will do. Except about insider trading, I guess.
Morningstar to Provide Equity Research, Ratings to Schwab
The partnership will give Schwab access to Morningstar's global equity analyst reports and ratings.
Cetera Strikes IPO Investment Deal With JMP, Expands Tech Ties With Broadridge
The group's 9,700 advisors will be able to offer retail clients access to initial public offerings and its financial-institution clients more self-clearing capabilities.
Emerging Market Infrastructure Needs Highlight Global Opportunities
Brazil's next president will have much to do to kick-start the nation's sagging economy, including addressing its infrastructure lacuna.
Facing No Urgent Crises, SEC ‘Spreads Its Wings’
Expect enhanced enforcement efforts in insider trading, financial reporting and pyramid schemes, enforcement chief Ceresney says.
SEC’s Gallagher Warns of Bond Bubble
Retail investors would be most vulnerable to a sell-off in the $10 trillion bond market, the commissioner says.
Understanding Advisor Economics 101: Follow the Money
The economics of being a wirehouse broker vs. an independent advisor, of the wirehouses vs. fee-based financial services firms, and the CFP Board.
Why Alt Investments Are Luring Investors: Hatteras
The alt investment firm's new paper, “Defining Liquid Alternatives Investments,” shows advisors how they can use alternatives to diversify their clients’ portfolios.
Knut Calls Out the Brokerage Industry on Fiduciary Standard
Knut Rostad makes the case why a fiduciary standard for all financial advisors is more important than ever today.