Dishonest Services: SEC’s Fight Against Public Corruption
We often think of laws to combat corruption as anti-bribery and anti-kickback laws. But the SEC is increasingly using securities fraud laws as a tool.
Keith Hall Named New CBO Director, Replacing Elmendorf
Keith Hall, chief economist of the International Trade Commission, will start his four-year term on April 1.
Finding Your Client’s Place on the Efficient Frontier
Modern Portfolio Theory plays a role in academic finance, but for Dave Basten of API Funds, MPT plays a unique role in investment practice.
Top 10 Most Generous U.S. Donors: 2015
Tech world philanthropists star on The Chronicle of Philanthropy’s yearly list, representing nearly half the total amount donated.
IAA Names Grohowski General Counsel
He will replace IAA's longtime general counsel, Karen Barr, who became the association’s new president and CEO in November.
Raymond James Nabs $2.6M Ex-RBC Team
In addition, a former Merrill Lynch rep affiliates with LPL Financial, and Baird adds an ex-UBS team.
Top 15 States With Most RIAs
The number of RIA firms increased to 31,975, according to SIFMA’s 2014 Factbook, despite an active merger year.
Top 10 States With Most Millionaires: 2015
Several states made big jumps on the list thanks to the oil boom, Phoenix Marketing found.
Enforcement Roundup: Wells Fargo, JPMorgan Slammed Over Mortgage Kickbacks
Meanwhile, the SEC charged a Fort Lauderdale-based advisory fund manager and his firm with running a Ponzi scheme to buy jewelry, cars and a house.
So You Want to Launch Your Own ETF?
With a strong idea, loyal clients or unique niche, today you could rightly say: “When I want to invest in an ETF, I launch one.”