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Time to act on credit ratings agencies
THE FINANCIAL CRISIS struck in 2008. Two years later, Congress passed the Dodd-Frank financial reform law. Now, nearly…
Beware the transaction tax proposal
The industry needs to remain on guard for proposals from lawmakers seeking to squeeze more coin out of existing revenue streams, or open up new ones.
Aguilar spot-on about mandatory arbitration
The SEC's Luis Aguilar is spot on when he says the commission's stance on mandatory arbitration needs a major rethink.
Spelling out the alphabet soup for seniors
Three cheers for the Consumer Financial Protection Bureau for sounding the alarm on the dizzying array of “senior…
Limiting 401(k) tax advantage is unwise
President Barack Obama’s budget proposal, which would end tax deferral of contributions to individual retirement accounts when they…
Why conflicts of interest aren’t going away
The private client was sitting across the table from his financial adviser in their regular quarterly meeting when…
Immunize investments against rising rates
Financial planners and investment advisers should get their clients positioned ahead of the rate increases that seem inevitable
GAO is on target in rollover report
When workers participating in 401(k) plans switch jobs, they have the option of rolling over the money that…
A shot across the bow at fund directors
THE DECISION by the Securities and Exchange Commission to charge eight Morgan Keegan & Co. Inc. mutual fund…
Some RIAs saw market meltdown as an opportunity, not a tragedy
Over the past year, the business environment for registered investment advisory firms has been fraught with danger and opportunity.
Sound the alarm on retirement crisis
Even thoug the stock market is rising and the economy is getting back on its feet, America faces…
No reason to keep signing bonuses secret
Finra is right to push a rule proposal that would force brokers to tell clients about big signing bonuses they receive when moving to a new firm.
Congressional criminals still can collect public pensions
Former Rep. Jesse Jackson Jr. is the latest member of Congress to fall from grace.
Ensuring class actions the right thing to do
If class actions are taken off the table, investors who have been victimized by brokers will be hurt. Perhaps just as importantly, a tool that helps keep the brokerage industry honest will no longer be in place.
Stocks on a tear — what’s an adviser to do?
This is the time for financial advisers to take an active role in helping clients navigate the confusion surrounding the state of the equities market.
Government shouldn’t settle suit with S&P
Only in a courtroom will S&P's actions in rating mortgage-backed securities in the lead-up to the 2008 financial crisis be fully disclosed.
Like predecessors, White not perfect
Her work as a prosecutor and later as a defense lawyer has given her insights into the strengths and weaknesses of the securities law and regulations that will inform her decisions.
Congress, Obama must learn to compromise
Congress and the president have time before they need to come to grips with the budget deficit, but they would be wise not to squander it on partisan bickering.
Embrace change — or be its victim
Advisers and planners of all stripes must keep a close eye on the innovative ways in which people are finding new clients, managing their businesses and providing financial advice.
CFTC rule requires further scrutiny
A new Commodity Futures Trading Commission rule to harmonize certain CFTC and SEC mandates that apply to mutual funds investing in commodities is drawing criticisms.
