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6 HOURS AGO - Financial Planning magazine

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Why RIA Advocates Still Fear FINRA Oversight

"I live in fear, quite honestly, of FINRA assuming the responsibility of examining investment advisors," a former SEC attorney told advisors at the Investment Adviser Association regulatory and compliance conference.

Tags: Why RIA Advocates Still Fear FINRA Oversight,  Sec Latest News

12 HOURS AGO - Financial Planning magazine

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HD Vest Settles SEC 'Supervisory Failures' Charges

The firm agreed to pay $225,000 for failing to adequately supervise its registered representatives, one of whom allegedly bilked elderly clients of over $300,000.

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12 HOURS AGO - Zero Hedge

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High Frequency Robber Barrons

From Eric Hunsader of Nanex Robber Barrons The February 28, 2015 weekend edition of Barron's carried an article by Bill Alpert about how trading has never been better for "The Little Guy". Alpert claimed to have arrived at this conclusion after months of studying SEC 605 reports. He further went on to rank the "Stock Wholesalers" (folks that actually execute ...

Tags: High Frequency Robber Barrons,  Sec Latest News

MAR 04, 2015 - Business Insider

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The quaint economy is going public β€” and Goldman Sachs is its banker

Etsy just filed paperwork with the SEC clearing the way to file an IPO, and its underwriter is Goldman Sachs (and Morgan Stanley and Allen & Company).  Etsy is the quaint economy (TQE) in action.  What is TQE? Let me remind you:  The quaint economy is a derivative of a derivative of The Way We Live Now. It’s about the way ...

Tags: The quaint economy is going public β€” and Goldman Sachs is its banker,  Sec Latest News

MAR 04, 2015 - Zero Hedge

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Mark Cuban Warns: This Bubble Is Far Worse Than The Tech Bubble Of 2000

Just over a year ago, we warned that while the world of speculative capital is focused intently on the Twitter and Facebook #Ref/0 fundamental valuations in the publicly-traded equity markets, the real dot-com 2.0 bubble is occurring in the private markets. Few paid attention, prefering the head in the sand "well the music is still playing" meme; but one (or ...

Tags: Mark Cuban Warns: This Bubble Is Far Worse Than The Tech Bubble Of 2000,  Sec Latest News