SEC Names McNeil First Ombudsman
As Ombudsman, Tracey McNeil will report to the SEC's Investor Advocate Rick Fleming.
Financial Firms Target Investors' $3.4 Trillion Cash Holdings: Cerulli
New research from Cerulli Associates finds there is still high interest in traditional banking services over alternative and other investments.
Can CFPs Really Be Fiduciaries?
To my mind, the onus for establishing standards for how CFPs should live up to a fiduciary standard fall squarely on the CFP Board.
Motif Investing Targets Corporate Inversions
The recently launched Tax Inversion Targets motif is a 25-stock tradable index of potential tax-inversion targets domiciled in tax havens.
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.
Liquid Alternatives: A Quick Coming of Age
In an unusual twist, the smart money appears to be following the small retail investor into alternative mutual funds, aka “liquid alts.”
Fiduciary-Only Advisors: Of Attorneys, 'Agents' and Schmucks
Readers of my recent blogs had some interesting responses (with colorful language) about the viability of my suggested designation of 'Fiduciary-Only Advisors.'
Institutional Investment Managers Beat Retail Managers at Own Game
Institutional managers gained more than their retail-oriented counterparts in the retail market in 2013, Casey Quirk finds.
SEC Charges 4 for Manipulating Marijuana Company Stocks
The SEC Tuesday charged four promoters for manipulating the securities of several microcap companies, including marijuana-related stocks.
Mass. Checks Out How BDs Treat Older Investors
Massachusetts securities regulator William Galvin is sweeping 162 Massachusetts BDs to gauge the number of complaints from older investors and how BDs resolve them.