Practice

The Securities and Exchange Commission last week unveiled its money market fund proposals that, in part, seem to have won the support of its biggest critic: the Investment Company Institute.

The Securities and Exchange Commission has improved how it justifies new regulations after at least five recent court defeats faulted its use of economic analysis, according to an audit by the agency’s inspector general.

The Securities and Exchange Commission has paid $580,000 to settle claims by a former internal watchdog that he was fired in an effort to quash his investigations.

From not giving up your audit too soon to wise words from Pershing's Mark Tibergien on creating a human capital strategy, here are some of the smartest things we learned at this year's INSITE conference.

Like star athletes, advisors can experience “imposter fear” – worrying that their success is owed to luck and somehow they’ve fooled others into believing they are skilled professionals. Jack Singer, an advisor coach and sports psychologist, offers insights on how advisors can overcome this fear.

Trading at 25% down from an all-time high of $1,921 per ounce, gold's recent prices may have you thinking that the bull run is over.

One year after the "untimely" death of Richard Aster, founder of Larkspur, Calif.-based Aster Capital Investment Management, the investment advisor is selling off its assets.

The Securities and Exchange Commission has approved new Financial Industry Regulatory Authority rules that prevent mutual fund and hedge fund industry personnel from serving as public arbitrators, effective July 1.

The Securities and Exchange Commission last week unveiled its money market fund proposals that, in part, seem to have won the support of its biggest critic: the Investment Company Institute.

Thanks to advances in medicine and technology, more of us will live to see our grandchildren to adulthood.