Work of subcommittees to inform regulatory agenda
Regulatory system continues to earn low scores from CFA charterholders
Advisors should operate under a single, rigorous fiduciary standard, group says
Council offers guidance for evaluating advisors
SEC Investor Advisory Committee outlines agenda
Brochure provides directions on how to check the registration status of an advisor
BetaPro report aims to eliminate confusion over leveraged ETFs
Many retail clients lost significantly less than did institutions and stock market indices
Proposals aimed at enhancing the quality of advice investors receive
The U.S. Securities and Exchange Commission is the latest securities regulator to announce the creation of an investor advisory committee to give investors a greater voice in regulation.SEC chairman Mary Schapiro announced Wednesday the formation of the committee, and commissioner Luis Aguilar will serve as the primary sponsor of the committee. It will be charged […]