-
Neil Barofsky, a former special inspector general overseeing Troubled Assets Relief Program aimed at strengthening financial institutions during the financial crisis, calls the program a failure.
October 26 - Money Management Executive
The registered investment advisor is becoming a portfolio manager, more than an advisor.
October 26 -
By almost any measure, trust in financial services firms have fallen to new lows or close to them.
October 26 -
Securities and Exchange Commission officials downplayed the potential for the so-called budget "sequestration" Thursday, but said dealers selling Build America Bonds should inform investors of any potentially risky call provisions.
October 26 -
The Securities and Exchange Commission is not pursuing the idea of imposing a three-strikes-and-you're-out system for issuers with disclosure failures, like the one floated last week by an SEC commissioner, John Cross, the director of the SEC's Office of Municipal Securities said here on Thursday.
October 26 -
The executive listed a few areas where the organization is targeting rule-breakers.
October 26 -
It turns out that Jasen Snelling, the Cincinnati man who was sentenced Tuesday to 131 months in prison for running a Ponzi scheme, also ran a successful mutual fund back in the day.
October 25 -
Morgan Keegan & Co., the brokerage firm acquired by Raymond James Financial Inc., was ordered by a federal appeals court to pay a group of 18 investors a $9.2 million arbitration award.
October 24 -
SEC chairman Mary L. Schapiro said there is not a substantive effort to review the agencys clearly erroneous trade rules, even though Knight Capital took $457.6 million in losses after a flood of erroneous trades on August 1.
October 24 -
Principal Funds president and CEO Nora Everett has been elected to the Investment Company Institute's Board of Governors.
October 24
