The phrase that you need to know is 'fiduciary standard.' The fiduciary standard is a code of conduct for the approximately 10,500 registered investment advisors who are regulated by the U.S. Securities and Exchange.
For nearly a decade, SAC Capital Advisors has been on the radar of the federal government for alleged systemic insider trading. On Monday, United Sta...
If equity crowdfunding had the same alert system color code as Homeland Security, it would have jumped from green to orange on October 23rd, 2013. Fo...
Now that the most significant change in securities law in years has become the law of the land, it's incumbent on Americans to ask a basic question: how will the JOBS Act actually create jobs?
Shareholders -- the owners of the company -- deserve to know where their money is going. Currently, it's too easy for one person in corporate management to secretly spend company money on pet political projects.
Chances are, you or someone you know has given money to a crowdfunding platform. It's less likely, though, you've received anything significant from your contribution. (Unless you count that signed CD your friend released two years ago.) But now we're one step closer to making that a thing of the past.
This proposal -- like some of the other rules implemented under Dodd-Frank -- will do little to accomplish the desired effect of narrowing the gap between employee compensation and executive compensation. If anything, it may have the opposite effect.
The few companies with robust capacities for leveraging their reputational strategy share a common DNA. Every decision is made through a prism and reflects the concerns of the stakeholders who provide it with its sustenance and success.
Could Cuban just be another case of an entitled billionaire who believes he is above the law? Anything is possible, but more likely, Cuban simply believes he is innocent and he is willing to pay to prove the point.
If you're not a securities professional, chances are you've never heard of the DTC. While the three-letter acronym, DTC, can easily be mistaken for th...
Is it any wonder that many believe our current 401(k) system is rigged to benefit actively managed funds, mutual funds serving as plan trustees, consultants, brokers and insurance companies, at the expense of the returns of plan participants?
There are simply too many questions about the ethics of this bank and its CEO to be ignored anymore. At the very least, a major house cleaning should be on the agenda to move forward.
Where these people will go after government is hard to predict, but the odds are pretty high that they will return to their corporate, and highly profitable, roots.
In a world where D.C. politics have ground to a dysfunctional halt, where the Euro continues to struggle on the precipice of failure, and where the growth rate of China is grinding downward, the head of the Fed has become a figure of global importance.
Beyond this case, a new question needs to be addressed: how accountable are the superiors of failing employees? Are employees supposed to second-guess the instructions they receive from their superiors?
Republicans lost the White House. They lost an opportunity to control the Senate. They lost seats in the House, though they remain the majority there. Yet it is their plan, from that minority position, to sustain their sink-middle-class-boats economic policies and scuttle all attempts to change course.