Gregory Reyes is the first chief executive to be sentenced to prison and socked with a huge fine for improperly back-dating stock options.
Upon implementation of the Pension Protection Act one year ago, sponsors of 401(k) plans gained the opportunity to limit their liability for advice given to participants under eligible investment advice arrangements.
Reluctant as we are to call for the establishment of another self-regulatory organization, we have concluded it is the best structure for the regulation of the investment advisory industry.
Incentive stock options are thought of more favorably than non-qualified stock options because ISOs can create capital gains while NQOs create ordinary income.
If the timing is right, there’s a compelling case for converting a traditional IRA to a Roth IRA, even though Roth conversions are a tough sell.
The Securities and Exchange Commission must carefully monitor its temporary proposed principal-trade rule, which took effect Sept. 30.
The first day of trading in the new year should have served as a warning to investors that 2008 will likely be a tough year for the economy and for investors.
We have a few items we would like to request from Santa Claus for Christmas — not this Christmas, mind you — we would be happy to receive them by Christmas 2008.
The prospect of 2 million homeowners seeing their mortgage rates jump over the next two years as adjustable-rate mortgages reset, possibly triggering hundreds of thousands of foreclosures, has forced the government, lenders and the mortgage-servicing companies to focus on the problem.
Investment advisers can thank the 2006 Pension Protection Act for giving them a new opportunity.
It's time for all investors, institutional and individual, to tell boards of directors: "We're mad as hell, and we're not going to take it anymore!"
As discussed in earlier columns, there are two types of structured-note products — those without a principal guarantee and those that guarantee the return of principal as a worst-case scenario.
The Securities and Exchange Commission should resist calls for it to require, at this time, greater disclosure of the business risks to companies from climate change.
Health-care spending for people under 65 is growing faster than for those over the "magic" number.
