Views on improving the integrity of global capital markets

Linda Rittenhouse, JD

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53 Posts

Biography

Linda Rittenhouse, JD, is a director of capital markets policy at CFA Institute. She focuses primarily on issues related to investment products and investment regulation. Rittenhouse holds a JD degree.

Author's Posts
Advisers Beware: Create Business Continuity Plans or Risk Committing Fraud

SEC proposing a new rule that would make it unlawful for investment advisers to not have a business continuity and transition plan in place.

Money Market Fund Reforms to Reduce Systemic Risk Take Effect in October

New SEC rules for money market funds, including changes in calculating NAV, that are designed to increase their stability go into effect on 14 October.

SEC’s Regulation Crowdfunding: Benefit for Investors and Industry or Concern?

Crowdfunding as an option for the offer and sale of securities became a reality when the SEC’s Regulation Crowdfunding went into effect in May.

MetLife Not a SIFI: What Does Decision Mean for the FSOC?

Can the FSOC meet its mandate to identify and respond to emerging financial stability threats, or has the recent court ruling and past criticism eroded its authority?

NYSSA Event Unwraps DOL Conflict of Interest (Fiduciary) Rule

The Department of Labor advises asset managers to be ready to comply with the fiduciary rule by the target implementation date of April 2017. Will lawsuits delay this plan?

Break up Big Banks or Tax Leverage: How Will Fed Officials Solve “Too Big to Fail”?

Minneapolis Fed President Neel Kashkari’s call to break up big banks has reopened a debate on whether the US has done enough to prevent another global financial crisis of the magnitude felt in 2008.

SEC Exam Priorities: What Investment Managers Can Expect in 2016

Protecting retail investors and retirement savers, assessing marketwide risks, and data analytics are top exam priorities.

DOL Fiduciary Rule: What Are the Implications for the Investment Industry?

Since the Department of Labor issued its sweeping — and controversial — fiduciary rule proposal last April, the investment industry has remained largely divided on stricter requirements for investment professionals working with retirement plans.

Investment Industry Regulators Tackle Financial Exploitation of Older Adults

Recent proposals by NASAA and FINRA aimed at protecting the elderly from financial exploitation represent the latest attempts by regulators and industry groups to rein in unscrupulous practices.

DOL Fiduciary Rule Proposal: Armageddon or Start of Promising New Era for Investors?

It’s hard to remember a regulatory proposal that has generated such polarization.

Labor Department Fiduciary Rule Proposal Takes Important First Step

CFA Institute urges a single standard of care from those who advise investors that honors client interests above all others.

Investment Adviser Oversight: Is FINRA Back in the Game or Is Someone Else on First?

Those following this issue know that the path has been contentious, meandering, and still lacks resolution.

Insider Trading Standard Turned Inside Out by Federal Court Action

Although insider trading prosecution has a long history in the US, recent actions by the courts and Congress have thrown the SEC enforcement arm into a no man’s land.

Eaton Vance Makes the Cut, BlackRock Doesn’t: Taking Stock of SEC ETF Policy

The SEC’s rejection of BlackRock’s ETF application has raised questions about the future direction of this segment of the market.

CFA Institute: Learn from SEC’s CAT Before Building FINRA’s CARDS

FINRA’s investor protection motivations are certainly laudable, but CFA Institute recommends implementation of the SEC’s CAT system, which is further along, before FINRA’s CARDS system.



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