SEC Panel Backs Broader Definition of Accredited Investor
Investor committee recommends ways SEC can modernize definition for buyers of Reg D offerings; Chairwoman White vows to make “real progress.”
Beware Squirrely Risk Assessment
What a scientific paper on small mammals can teach investors.
IA 25 2014: The Regulators and Advocates—Slideshow
Who’s more influential than the people crafting the laws advisors and brokers have to work by?
SEC Tells Congress It Will Proceed With Uniform Fiduciary Standard for Brokers, Advisors
The SEC told Congress that it would move forward in creating a new uniform fiduciary standard of care for broker-dealers and investment advisors when providing advice to retail customers.
The unbearable lightness of being
I feel like Norman Fell. T.V.'s Mr. Roper had a scene-stealer with Bob Newhart in the film adaptation of Catch-22. Fell's Sgt. Towser takes such a...