- Money Management Executive
The Securities and Exchange Commission is seeking public comment on the use of derivatives by mutual funds over the next 60 days after publication in the Federal Register. If it determines that new regulations to protect investors are necessary, the SEC will consider passing and enforcing them.
August 31 - Money Management Executive
A bad day for financial engineers in Chicago continued Wednesday, when the Securities and Exchange Commission said the assets of a quantitative trading firm were frozen.
August 31 - Money Management Executive
Compliance professionals don’t think the Dodd-Frank Wall Street Reform and Consumer Protection Act will lead to a significant increase in compliance spending this year and they expect more money will be allocated to technology rather than education and consulting, according to a new study conducted between March and April by National Regulatory Services (NRS).
August 26 -
Compliance professionals dont think the Dodd-Frank Wall Street Reform and Consumer Protection Act will lead to a significant increase in compliance spending this year and they expect more money will be allocated to technology rather than education and consulting, according to a new study conducted between March and April by National Regulatory Services (NRS).
August 25 - Money Management Executive
A former Morgan Stanley Dean Witter stockbroker was sentenced this week to almost five years in prison and ordered to pay his former employer $1.5 million in restitution in connection with fraud charges.
August 25 - Money Management Executive
Broker-dealers don’t have to track every message sent through social media -- only ones that relate to business purposes. And unscripted interactions? They can be reported after they occur.
August 24 - Money Management Executive
The Securities and Exchange Commission has approved the creation of an interim inspection program related to audits of brokers and dealers.
August 23 -
The Securities and Exchange Commission has approved the creation of an interim inspection program related to audits of brokers and dealers.
August 22 - Money Management Executive
A senior employee known as an aggressive workaholic, but who seems stressed, yet rarely takes vacations, declines promotions and zealously protects his business unit from outside scrutiny while personally handling choice vendors may be up to something devious.
August 17 - Money Management Executive
A former managing director of the Nasdaq Stock Market was sentenced today to 42 months in prison by a federal judge in Virginia.
August 15