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By Staff Writer |
April 1, 2009
? On March 2 Raymond James Financial named Paul Reilly as president effective May 1, and announced that a year after that date Reilly will...
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By James J. Green, AdvisorOne |
March 1, 2009
Linda Chatman Thomsen, the director of the SEC's Division of Enforcement, said February 9 that she would leave the Commission and return to the private...
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By James J. Green, AdvisorOne |
March 1, 2009
The regulatory stew in Washington is beginning to come together, with Mary Schapiro confirmed to chair the SEC and with the Commission's enforcement chief, Linda...
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By Melanie Waddell, AdvisorOne |
March 1, 2009
As new Treasury Secretary Timothy Geithner was preparing to announce a four-pronged revamp of the bank bailout package--which would include a "bad bank" that allows...
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By Melanie Waddell, AdvisorOne |
February 6, 2009
The SEC announced a settlement with Wachovia Securities LLC that will provide more than $7 billion in liquidity to customers who invested in ARS before the market collapsed.
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By Melanie Waddell, AdvisorOne |
November 1, 2008
Since the auction rate securities (ARS) market froze in February of this year, the Securities and Exchange Commission (SEC) has gotten 11 of the largest...
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By Janet Levaux, AdvisorOne |
April 1, 2007
The titans of Wall Street aren't involved. But a former UBS executive director, ex-Morgan Stanley compliance attorney, and several former Bear Stearns brokers are. "UBS is...
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By Melanie Waddell, AdvisorOne |
June 1, 2005
No single commercial or governmental agency has as big an influence on financial planners and investment advisors as the Securities and Exchange Commission. Moreover, within...
