Jmkesquire's Favorite Links from Diigo

Do Financial Advisers Have to Act in Your Interest? Maybe - The New York Times

Mon, 26 Mar 2018 16:08:12 +0000

Tags: Fiduciary-Duty financial advisor adviser stockbroker regulation

How to Sidestep 3 Unethical Financial Advisor Tactics

Mon, 26 Mar 2018 16:05:38 +0000

Tags: financial advisor stockbroker

Senators push for tighter expungement rules for brokers

Fri, 20 Dec 2013 16:09:09 +0000

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A bipartisan duo of U.S. senators Monday pushed Finra to provide new details on a process that allows brokers to sanitize their disciplinary records.

5 Ways to Boost Your Decision-Making Power | Inc.com

Wed, 15 May 2013 19:03:10 +0000

Article gives suggestions for entrepreneurs on how to move their businesses forward

Tags: entrepreneur startup decision making

What Is an EIN and Does Your Business Need One? | Intuit Small Business Blog

Wed, 15 May 2013 18:25:48 +0000

Tags: business small business employer employee EIN

6 Ways to Set Up the Ideal Advisory Board | | The New OPEN ForumThe New OPEN Forum

Wed, 15 May 2013 17:46:43 +0000

Tags: advisory board entrepreneur startup

How Investors Think: Is your Startup a Feature, Product or Business?

Wed, 15 May 2013 17:00:11 +0000

How VCs think: Is your startup a feature, a product or a business?

Tags: startup startups entrepreneurs entrepreneur business investors venture capital VC

5 Reasons Great Entrepreneurs Always Go to Reunions | Inc.com

Wed, 15 May 2013 16:54:20 +0000

Tags: entrepreneurs entrepreneur business ideas

US senator: Show me the economic analysis on settlements vs trials | Reuters

Wed, 15 May 2013 16:50:01 +0000

"In a May 14 letter to the heads of the Federal Reserve, the Securities and Exchange Commission and the Justice Department, Massachusetts Democratic Senator Elizabeth Warren asks the agencies to provide her with details of how they weigh the costs and benefits of settling versus trying cases."

Tags: SEC securities fraud regulation

Why have so few bankers gone to jail? - The Wall Street Job Report | The Wall Street Job Report

Wed, 15 May 2013 13:36:19 +0000

"It is now almost five years since the world’s financial system was brought to its knees and had to be bailed out by taxpayers at a cost of billions. Millions of people lost their jobs or suffered from lower living standards because of the recession brought on by the financial collapse."

Tags: wall street bankers financial crisis

Mary Jo White Agrees With Calls For Stock Market Review: Official

Wed, 15 May 2013 13:33:36 +0000

The head of the Securities and Exchange Commission, Mary Jo White, is on board with calls for a broad review of the framework of the U.S. equity market, which has been roiled by software glitches over the past year, an SEC commissioner said on Monday.

Tags: SEC Securities Exchange Commission Stock Market

Investors Opt for Arbitration Panels Without Ties to Wall Street - NYTimes.com

Mon, 31 Oct 2011 14:37:54 +0000

77 percent of Claimants choose 'public' panels

Tags: investors arbitration wall street wall street securities fraud FINRA

SEC official seeks to debunk mini flash crashes | Reuters

Thu, 22 Sep 2011 14:22:03 +0000

Tags: SEC securities flash-crash investment reuters

MSRB Files Advisor Fiduciary-Duty Rule and Interpretive Notice With SEC - The Bond Buyer Article

Wed, 24 Aug 2011 14:25:38 +0000

Tags: SEC MSRB Fiduciary-Duty advisor bond securities investment investments

SEC’s Schapiro Tells Investors to Aid Credit-Rating Competition - Bloomberg

Thu, 23 Jun 2011 12:41:09 +0000

Tags: SEC securities investments investors credit-rating

S.E.C. Chief Defends Rules for Mortgage Securities - NYTimes.com

Thu, 23 Jun 2011 12:36:42 +0000

Tags: SEC securities MBS mortgage-backed mortgage investments

Much-anticipated site for investors good news/bad news for advisers - InvestmentNews

Wed, 27 Apr 2011 12:43:45 +0000

Advisor Pages allows reps and planners to connect with potentially vast number of prospective clients; site also highlights rules infractions, formal complaints

Tags: stockbroker brokerage firm securities investment adviser advisor pages

Brokerages Wrestle With New Suitability Rules - Financial Adviser - WSJ

Mon, 25 Apr 2011 18:38:24 +0000

Brokerage firms will have to collect more details from customers, and then routinely monitor to ensure securities and investment strategies brokers recommend are consistently suitable

Tags: stockbroker suitability FINRA rules regulation brokerage firm securities fraud investment

Wall Street, Banks Press to Shape Dodd-Frank Rules - WSJ.com

Mon, 25 Apr 2011 18:34:32 +0000

Wall Street and the financial industry spent more to lobby Washington in the first quarter of this year than a year ago when Congress was writing sweeping financial-overhaul legislation

Tags: Wall Street stockbroker brokerage firm Dodd Frank regulation reform

In Citigroup Case, a Crack in Wall Street’s Defenses - NYTimes.com

Mon, 25 Apr 2011 18:30:49 +0000

Securities arbitrators appear to be ignoring brokerage firms' typical "it's not our fault" defense

Tags: FINRA arbitration securities investments arbitrators stockbroker brokerage firm