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1 HOUR AGO - FT Alphaville

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Further reading

Elsewhere on Thursday, - The rise and fall of Drexel in quotes: “The blanket term greed has no meaning… That’s just an adjective for people who write about this who don’t understand what it was like.” - The world will only get weirder. - Summers responds to Bernanke on sec stag. - Bernanke on the global savings glut.Continue reading: Further ...

Tags: Further reading,  Sec Latest News

3 HOURS AGO - AdvisorOne

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Why the SEC Doesn't Need to Regulate Succession Planning

Just when you thought there wasn't one more rule that the SEC could impose on advisory firms, here comes another.

Tags: Why the SEC Doesn't Need to Regulate Succession Planning,  Sec Latest News

3 HOURS AGO - AdvisorOne

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The Advisor's Role in Preventing Abuse

Noting in a jointly published 2008 report that securities professionals are “on the front lines” to spot possible financial abuse of an older client, NASAA, FINRA and the SEC suggested watching for these red flags

Tags: The Advisor's Role in Preventing Abuse,  Sec Latest News

3 HOURS AGO - AdvisorOne

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SEC's White Supports Fiduciary Rule for Brokers, Third-Party Audits

While many in the industry are applauding SEC Chairwoman Mary Jo White's declaration that she will push to ensure the agency extends a fiduciary rule for brokers, concerns remain that such a rule will be a long time in the making.

Tags: SEC's White Supports Fiduciary Rule for Brokers, Third-Party Audits,  Sec Latest News

7 HOURS AGO - USA Today

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'Turnaround queen' Lynn Tilton sues SEC

Lawsuit argues the federal regulator's use of administrative proceedings is unconstitutional        

Tags: 'Turnaround queen' Lynn Tilton sues SEC,  Sec Latest News