Other priorities next year will include hiring more examiners to police advisors, JOBS Act
rulemaking on Reg D, crowdfunding.
Finding the right financial planner can be a confusing process. To simplify the search, the SEC has released a new bulletin that contains tips for finding one.
Agency files record number of cases in fiscal 2012; more of the same coming.
An investor website is promising to give clients their first clear look under the hood of their brokerage accounts to see whether they are getting a good deal for the prices that they pay.
Hedgies back to out-earning mutual fund counterparts by a ton. Life remains good for hedge fund managers.
Regulator backtracks from earlier, broader rule interpretation.
What is an advisor’s true fiduciary duty?
The Certified Financial Planner Board of Standards has written a letter to the Consumer Financial Protection Bureau urging the recently established agency to create a ratings system for financial certifications and designations.
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