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As the Securities and Exchange Commission is moving quickly to impose new regulations on derivatives in mutual and exchange-traded funds, it is important to know that derivatives have become an important tool, said F. William McNabb II, president and chief executive officer of Vanguard Group.
May 10 -
The Securities and Exchange Commission's (SEC) suit against Goldman Sachs centers on the allegation that the Wall Street firm failed to disclose to investors the role an opportunistic hedge fund, Paulson & Co., played in choosing the assets underlying a CDO, before betting against it.
May 10 -
WASHINGTON—The Financial Industry Regulatory Authority is preparing to take enforcement action against certain firms for selling municipal bonds to retail customers without disclosing material information, including that the bonds’ credit ratings had been spiraling downward, a FINRA official said Thursday.
May 10 -
PALM DESERT, Calif.—The Securities Industry and Financial Markets Association is in discussions with the Securities and Exchange Commission and the Financial Industry Regulatory Authority to establish the first-ever licensing, training and continuing education program for operations executives at financial firms.
May 10 -
In the aftermath of the global recession, regulators from developed nations are working with financial industry leaders to build a new foundation for a more balanced global economy less susceptible to worldwide crises.
May 10 -
Donohue: We are moving quickly.
May 10 -
Agencies tell investors to look at glidepaths, performance, risks, fees and underlying investments.
May 10 -
Add target-date funds to the list of headaches for advisers and investors.
May 10 -
Like it or not, and most large banks don't, the Volcker Rule to ban proprietary trading is now all but certain to be enacted in regulatory reform.
May 10 -
WASHINGTON—The Department of Labor and the Securities and Exchange Commission on Thursday issued an investor bulletin on target-date funds to better explain their intended function, glidepaths and appropriate use (see “SEC, DOL to Require More Target-Date Info,” MME 5/3/10).
May 9
