| Similar Articles |
|---|
 |
CFO
March 1, 2012
Vincent Ryan |
CFOs Cast a Wary Eye on Money-Market Changes New SEC proposals offer protections, but at a cost.   |
Registered Rep.
May 11, 2011
Diana Britton |
Money Market Reform Debate Rages On Regulators and industry participants continue to battle over what kinds of reforms should be made to money market funds. |
Registered Rep.
March 21, 2012
Diana Britton |
Money Market Debate Still Heated Despite SEC Call for `Constructive Dialogue' During the 2012 Mutual Funds and Investment Management Conference Monday, SEC Commissioner Elisse Walter called for the money market fund industry to stop taking shots in the media about any proposed regulations governing money market funds. |
Investment Advisor
August 2010
Melanie Waddell |
Will the States Be Able to Regulate Big RIAs? State regulators and the Securities and Exchange Commission (SEC) will meet soon to iron out the details of shifting nearly 4,000 advisors from federal to state supervision. |
Registered Rep.
January 27, 2010
David A. Geracioti |
The SEC "Reforms" Money Market Funds but Votes to Allow Funds to Suspend Redemptions So now the SEC can decide when your client may take his or her money out of an investment? |
Investment Advisor
June 1, 2011
Melanie Waddell |
Schapiro Says SEC to Focus in July on Fiduciary, 12b-1 The Commission will look at fund regulation "in tandem" with RIA/BD reform. |
Registered Rep.
June 24, 2009
John Churchill |
SEC Says Time To Tighten Rules On Money Market Funds After one of the oldest and largest money market funds suffered such severe redemptions that the net asset value of its shares fell below $1, the SEC is proposing structural and regulatory changes for money markets |
Investment Advisor
July 2010
Melanie Waddell |
A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward. |
BusinessWeek
December 30, 2009
Jesse Westbrook |
Why the SEC Keeps Backpedaling New Chairman Schapiro could be caving in to business pressure. |
BusinessWeek
November 26, 2007
Lauren Young |
Money-Market Funds: A Safety Check The recent credit crunch has raised the possibility that the $3trillion in money-fund assets may not be as well protected as we thought. |
Investment Advisor
September 2008
Melanie Waddell |
Turf Wars A conversation with former SEC Commissioner Roel Campos about the Treasury's Blueprint for financial services reform. |
Investment Advisor
July 2008
Melanie Waddell |
SEC Chairmen of Yore Speak Six former SEC chairmen pointed to quite a few regulatory challenges that loom large -- namely globalization of the world markets, the burgeoning market for complex synthetic securities, and the continued growth of hedge funds. |
Registered Rep.
September 15, 2011
Kristen French |
Schapiro: Republican SEC Reform Bills Could Hog Tie SEC SEC Chairman Mary Schapiro said that legislation introduced by Republicans to restructure the agency and its rulemaking process would threaten the agency's ability to write and enforce rules effectively. |
Financial Advisor
October 2012 |
Stalled: Tougher Fiduciary Standard For Brokers Even with Wall Street and consumer advocates allied in pushing for it, a U.S. Securities and Exchange Commission proposal to raise standards for brokers advising retail investors has run aground. |
Finance & Development
June 1, 2005
de la Torre & Schmukler |
Small Fish, Big Pond What is the future for developing country capital markets in a globalized economy? |
Investment Advisor
August 2009
Melanie Waddell |
Congress Presses Schapiro to Protect Investors While members of Congress praised SEC Chairman Schapiro for acting quickly to institute changes at the agency, lawmakers said more work needs to be done to protect investors. |
Registered Rep.
June 29, 2010
Halah Touryalai |
The New Sheriffs In Town The SEC examines about 9 percent of the 11,000 or so advisory firms under its jurisdiction annually. All of that is about to change with a little help from regulators at the state level. |
Investment Advisor
February 2009
Melanie Waddell |
Mary Schapiro's Priorities Mary Schapiro tells the Senate Banking Committee what her priorities will be at the SEC. |
Investment Advisor
August 2010
Melanie Waddell |
Washington Watch: Financial Services Reform Finalized SEC gets fiduciary powers, but lack of self funding may pose trouble |
Registered Rep.
March 10, 2011
Kristen French |
SEC Says Bigger Budget Is Supported By BCG Report In testimony before Congress Thursday, SEC Chairman Mary Schapiro made a case for an increase in the agency's funding to $1.407 billion for 2012. |
Investment Advisor
March 1, 2011
Melanie Waddell |
SEC Fiduciary Rule May Hit by Summer Despite the advisory industry's hopes that the Securities and Exchange Commission would get a quick start on writing a rule to put brokers under the same fiduciary standard as advisors, it looks as though a rulemaking could come by summer. |
CFO
May 1, 2010
Vincent Ryan |
Weighing Your Next Move Finance executives who manage growing pools of idle cash can stand pat with their current investing strategies. Safety and liquidity require constant vigilance -- maybe even more so this year. |
The Motley Fool
September 21, 2009
Dan Caplinger |
This Tempting Move Is a Big Mistake With many low-risk savings vehicles having seen their income dwindle to almost nothing, some are jumping into bond funds, which could be riskier than they probably think. |
Investment Advisor
February 2009
Melanie Waddell |
Is Mary What the SEC Needs? The alternative to FINRA overseeing advisors, and what advisors would definitely prefer, is a self-regulatory organization. |
CFO
October 1, 2011
Sarah Johnson |
Is the SEC Being "Set Up to Fail"? A bill would raise the threshold for how the securities regulator sets rules. |
Investment Advisor
April 1, 2011
Melanie Waddell |
GOP's End Game in Nixing SEC Funds: Stopping Dodd-Frank Republicans' rehashing of supposed failures at the SEC is 'counter-productive,' says former Chairman Harvey Pitt |
CFO
March 1, 2012
Vincent Ryan |
Where to Stash the Cash? As safe havens for short-term funds disappear, companies weigh whether to assume some risk in return for a modest yield. |
BusinessWeek
May 20, 2010
Jesse Westbrook & David Scheer |
How Big a Hit Will Goldman Take? Congress and the public expect the SEC to extract a big fine |
Investment Advisor
May 2010
David Tittsworth |
What a Reinvigorated SEC Will Mean for You The first in a series of occasional commentaries by the executive director of the Investment Adviser Association. |
InternetNews
March 9, 2007
Clint Boulton |
SEC Cracking Down on Spam 'Pump and Dump' The SEC has suspended securities trading of 35 companies as part of a new crackdown on market manipulation via spam. |
Investment Advisor
May 2010
Melanie Waddell |
30 for 30 Interviews: Harry Markopolos Independent financial fraud investigator Harry Markopolos identifies strengths and weakness of the SEC. |
Registered Rep.
February 18, 2004
John Churchill |
SEC Puts Forth Mutual Fund Rules Proposals The SEC has put forth three proposals that could drastically change the way mutual funds are sold. |
Investment Advisor
May 2009
Melanie Waddell |
Danger & Opportunity: The SEC Reformation An exclusive interview with SEC chief Mary Schapiro regarding financial services reforms. |
Investment Advisor
April 2009
Melanie Waddell |
All About Enforcement It's seems a daily occurrence now that the Securities and Exchange Commission levies an enforcement action against a financial services firm |
The Motley Fool
September 25, 2008
Christopher Barker |
The Worst Kind of Deja Vu After 75 years, our biggest financial mistakes have returned. |
The Motley Fool
February 9, 2007
Dan Caplinger |
Millionaires Need Protecting, Too Regardless of how this issue plays out, expect continuing friction between the SEC and the hedge-fund industry. In the meantime, if you want to use alternative investments, you'd best get started toward the new $2.5 million mark. |
Financial Advisor
November 2008
Bruce W. Fraser |
Clearings Fairly Smooth Despite recent market turmoil -- spurred by the collapse of several storied financial institutions and plummeting stock values -- clearing venues for trades from financial advisors have been functioning fairly smoothly. |
BusinessWeek
April 5, 2004
Paula Dwyer |
Mutual Funds: Carpe Diem, Congress The SEC can't restructure the industry by itself, and legislators are dawdling |
The Motley Fool
July 3, 2007
Selena Maranjian |
Earn 5% on Your Cash If you're earning less than 4% on your cash, you're not trying hard enough. |
Registered Rep.
May 10, 2007
Kristen French |
SEC Impostors on the Loose The SEC issued an alert to securities industry firms, warning them to keep an eye out for impostors -- individuals pretending to work for the SEC. |
BusinessWeek
June 11, 2009
James Cooper |
Business Outlook: Signs of Progress on the Road to Recovery Improved financial conditions are laying the groundwork for a turnaround as investors' appetite for risk increases. Still, a second-half stumble could halt the momentum. |
U.S. Banker
November 2007
Lee Conrad |
Money-Market Funds Get a Boost From Bank Portals Internet portals offered by banks are on the verge of transforming the $1 trillion-plus institutional money-market marketplace by giving customers better access to their money and more flexibility in managing it. |
