Displaying 371 - 380 (of 402) < Prev Page     Page 38 of 41     Next Page >
SEC Whistleblower Program Reported To Be A Success in 2012
Posted on Tuesday, December 4, 2012 at 12:59 PM

The SEC recently submitted its Annual Report to on the Dodd-Frank Whistleblower Program for 2012. 

Read More »
Calling All Investment Trustees: A Primer on Prudent Asset Management
Posted on Friday, November 2, 2012 at 12:58 PM

Anyone charged with the responsibility for managing the investment of assets needs to have a basic understanding of investment principles and concepts.

Read More »
Duty to Adhere to the Investment Policies
Posted on Tuesday, October 16, 2012 at 12:57 PM

An adviser may not manage a client’s money in a way that subjects the investment to greater risks than those described in the investment company’s registration statement, resulting in losses to shareholders.

Read More »
New York Attorney General’s Lawsuit Alleges Fraud and Deceit in Sale of Residential Mortgage-backed Securities
Posted on Tuesday, October 2, 2012 at 12:56 PM

The lawsuit against J.P. Morgan for the alleged fraud and deceit by Bear Stearns (a company that J.P. Morgan acquired in 2008) highlights the breadth of the damage caused in connection with sales of Residential Mortgage-backed Securities (RMBS). 

Read More »
FINRA Issues Investor Alert Regarding Non-Traded REITs
Posted on Tuesday, September 25, 2012 at 12:55 PM

Recently, FINRA (the Financial Industry Regulatory Authority) issued an Investor Alert for investors (and their financial advisers) relating to public non-traded real estate investment trusts (REITs). 

Read More »
Clarifications to New Suitability and Know Your Customer Rules Underscore Their Importance
Posted on Friday, September 7, 2012 at 12:54 PM

Overview:  On July 9, 2012 new FINRA Rule 2090 and FINRA Rule 2111 will take effect.  The goal of FINRA (the Financial Industry Regulatory Authority) is to “strengthen, streamline and clarify” those very important investor protection rules. 

Read More »
SEC’s Financial Literacy Study Reveals Significant Financial Illiteracy of Investors
Posted on Wednesday, September 5, 2012 at 12:51 PM

The Dodd-Frank Act (more formally known as the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010) requires the SEC (Securities and Exchange Commission) to conduct a study to identify the existing level of financial literacy among retail investors as well as to identify methods and efforts to increase the financial literacy of investors.  At long last, the study has arrived. 

Read More »
Understanding the Basic Risks Associated With Oil and Gas Drilling Investments
Posted on Thursday, August 23, 2012 at 12:51 PM

Investors considering an oil and gas investment will be warned that oil and gas exploration is “speculative”.

Read More »
Guidelines to Improve Disclosure of Risk Benefit Both Financial Advisers and Their Clients
Posted on Thursday, July 5, 2012 at 12:50 PM

Risk disclosure is everywhere.  Yet, it seldom is complete or easy to understand.  

Read More »
SEC’s Complaint Against OptionsXpress Alleges Complex Trading Scheme Based Upon Some Simple Proofs
Posted on Wednesday, April 18, 2012 at 12:18 PM

The SEC (Securities and Exchange Commission) has instituted cease-and-desist proceedings against Chicago-based optionsXpress, a retail, online brokerage firm specializing in options and futures, as well as its chief financial officer and one of its retail customers. 

Read More »
 
Displaying 371 - 380 (of 402) < Prev Page     Page 38 of 41     Next Page >
 

 

Latest News