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I waited for March 26, 2009, in great anticipation that we might see meaningful change in protecting investors. I pray that my retirement years are not stolen from me as they have been from those who we represent - those who trusted Charles Schwab, OppenheimerFunds...
We need to invent a new word in the English language that describes an action so absurdly overdue that once finally undertaken it immediately becomes a totem of absurdity. We could have used this word when the FAA (now TSA) made the decision to ban box...
My friend William Lutz , who spearheaded the SEC's Plain English Rules , and now is overseeing a new 21 st Century Disclosure Initiative at the SEC and has alerted me to the Securities and Exchange Commission's (SEC) long overdue step towards...
Like the Wild West , hedge funds are a largely unregulated investment vehicle marketed as a tool for reaping large returns for investors willing to accept higher risk. In the current climate of market volatility, it appears that a sheriff is riding into...
NERA Economic Consulting has just published a report on SEC Civil Enforcement Settlements over the past few years. The study, SEC Settlements: A New Era Post-SOX , provides an overview of trends NERA has identified in the number of settlements and settlement...