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Time to put real teeth on accredited-investor rules
It is time for the Securities and Exchange Commission to set an even more rigorous net-worth standard for “accredited” investors than the requirements set forth in the Dodd-Frank financial reform law
Schapiro must learn from her mistakes or go
Mary Schapiro, chairman of the SEC, cannot be surprised that she is taking heat from Congress for hiring a general counsel who played a role in determining how victims of Bernard Madoff would be compensated, even though he had benefited from an investment with the notorious financial criminal
SEC gave investors half a loaf in arb panel ruling
The SEC deserves a pat on the back for eliminating the requirement that a securities industry representative sit on Finra arbitration panels. Still, its obligation to assure that investors get a fair shake in disputes with their brokers remains unfulfilled.
Myriad trends may mean lower equity returns
The merger of the New York Stock Exchange and the Deutsche Boerse bodes ill for individual investors, not because ownership and the headquarters of the combined exchange will be outside the United States, but because of the trends that produced it
Muni bond regs need an overhaul
Mounting worries about state and local governments' growing budget deficits have transformed the municipal bond market from a sleepy safe haven for conservative investors into a rowdy roadhouse for intrepid investors
Cooler heads must prevail in times of capitulation
Advisers soon will see whether last week's reaction to events in the Middle East and North Africa will reverse the slow return of investor confidence that markets have been enjoying
Many good reasons to breathe life into BABs
Republican leaders in Washington should stand down in their efforts to block the revival of the popular Build America Bond program
Government panel report is more sizzle than steak
The final report from the Financial Crisis Inquiry Commission is a disappointment
SEC must make its study work in the real world
The devil, as the old saying goes, is in the details
Obama must ensure regulatory balance
We applaud President Barack Obama's executive order to restore “balance” to federal regulation and weed out rules that stifle job creation and make the U.S. economy less competitive
SEC should require fiduciary standard
In the name of investor protection, we urge the Securities and Exchange Commission to exercise its rulemaking authority to require brokers to act in their clients' undivided best interests at all times. We are also reiterating our call for the SEC to recommend to Congress that the jurisdiction of the Financial Industry
A time for resolutions in Washington
Let's hope President Barack Obama and members of Congress have made New Year's resolutions and that they plan to keep them
Ironing out insider trading’s latest wrinkle
Yet another scandale is rocking Wall Street
Fears about SEC whistle-blower proposal unfounded
Companies are always grumbling about some rule or regulation.
Cyberattacks: A clear and present danger
The technology that makes financial transactions as easy as swiping a card or tapping a few keys also…
Wall Street should go light on big-bonus plans
AS WALL STREET prepares for its annual ritual of handing out year-end bonuses, let’s hope that most —…
Obama ‘deal’ a death knell for death tax?
Republicans had much to cheer about last week, including the significant advance they made in their longstanding battle to do away with estate taxes for the ultrawealthy
It is time to win back investors’ trust
To say that financial advisers face an uphill battle in regaining the trust and confidence of the investing public is a serious understatement.
Put 12(b)-1 reform on the front burner
The SEC should move with haste to revamp 12(b)-1 fees
An AMT fix is needed ASAP
The debates in Congress about whether to extend the Bush-era tax cuts and unemployment benefits, and about the DREAM Act, which would give children of illegal immigrants a path to citizenship, have delayed action on another tax measure that must be addressed: the annual temporary fix of the alternative minimum tax
