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By Ellen Uzelac |
June 1, 2008
The U.S. subprime mortgage meltdown. The ongoing credit crunch. Volatile markets. The Bush administration's rethinking of the nation's regulatory blueprint for financial services companies. Talk...
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By Janet Levaux, AdvisorOne |
March 1, 2008
The Securities Industry and Financial Markets Association (SIFMA) has appointed T. Timothy Ryan, Jr. as its chief executive officer to be based in New York....
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By Melanie Waddell, AdvisorOne |
November 16, 2007
The House Financial Services Committee passed November 15 its somewhat controversial Mortgage Reform and Anti-Predatory Lending Act of 2007 (H.R. 3915), which seeks to combat predatory lending practices.
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By Staff Writer |
September 7, 2007
Many in the financial industry were shocked to learn of the sudden death on September 4 of Frank Fernandez, at 53, of complications following heart...
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By Melanie Waddell, AdvisorOne |
September 1, 2007
Are computer models that meet the statutory requirements set out in the Pension Protection Act (PPA) an effective tool to use to provide investment advice...
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By Staff Writer |
April 10, 2007
Since the March 30 Washington D.C. Court of Appeals overturn of the SEC's broker/dealer exemption from fiduciary responsibility for fee-based brokerage accounts, there has been a distinct point-counterpoint repartee, albeit indirectly, between the Financial Planning Association, which filed the lawsuit in 2004 protesting the broker/dealer exemption, and the Securities Industry...
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By Staff Writer |
January 19, 2007
The Securities Industry and Financial Markets Association (SIFMA), is challenging the SEC to declare a moratorium on decisions allowing exchanges to charge higher fees for market data, "until the SEC is able to address the fundamental legal and policy issues created by for-profit exchanges," according to an announcement January 19...
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By Janet Levaux, AdvisorOne |
January 1, 2007
After all but announcing the deal during the Nov. 8-10, 2006, Securities Industry and Financial Markets Association (or SIFMA) launch in Boca Raton, Fla., NASD...
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By Staff Writer |
December 1, 2006
The CFP Board announced the appointment of Don Tharpe as interim CEO, replacing the departed Sarah Teslik. He will manage CFP Board's operations while the...
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By Melanie Waddell, AdvisorOne |
June 1, 2006
Baby boomers and seniors--don't confuse the two. By today's standards, boomers are middle aged, and they're not ready to think about retirement, nor are they...
