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.
SEC proposing a new rule that would make it unlawful for investment advisers to not have a business continuity and transition plan in place.
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.
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.
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?
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?
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.
Protecting retail investors and retirement savers, assessing marketwide risks, and data analytics are top exam priorities.
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.
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.
CFA Institute urges a single standard of care from those who advise investors that honors client interests above all others.
Those following this issue know that the path has been contentious, meandering, and still lacks resolution.
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.
The SEC’s rejection of BlackRock’s ETF application has raised questions about the future direction of this segment of the market.
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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