Views on improving the integrity of global capital markets

Linda Rittenhouse, JD

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53 Posts


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

Author's Posts
New Systemic Risk Council Challenges U.S. Regulators to Step up Monitoring Efforts

The new Systemic Risk Council (SRC) has thrown down the gauntlet, calling on U.S. regulators to step up addressing the forces that caused the market collapse four years ago and continue to threaten the world financial marketplace.

Investment Adviser Oversight: SEC or SRO?

After being housed in the SEC’s oversight regime for more than 60 years, investment advisers currently registered with the SEC now face uncertainly about where oversight ultimately will reside. Whether FINRA, a new self-regulatory organization, or the SEC will oversee advisers has ignited sparks throughout industry groups.

To Tweet or Not to Tweet: Social Media Rules in a State of Flux for U.S. Investment Advisers

Social media is here to stay, but the investment community is still waiting on a clear-cut set of regulations on how to use it. What’s allowed? What isn’t? What’s next? Advisers and investors have plenty of questions, but so far, they’ve gotten few regulatory answers.

Doctor, Doctor, Give Me the News: the Decline of Finance

As if the stalemate in the Super Committee weren’t enough to worry U.S. investors, speakers at the recent Investing Conference held at the University of Virginia Darden School of Business (co-sponsored by CFA Institute) were abundantly clear that this… READ MORE ›

Volcker Rule: Wherefore Art Thou?

Taking up but a mere 10 pages in the Dodd-Frank Act, the so-called Volcker Rule has morphed into a regulatory proposal just shy of 300 pages. What happened between former Fed Chairman Paul Volcker’s suggestion… READ MORE ›

What Keeps Us Up at Night?

In its Fifth Annual Main Street Investor Survey of just over 1,000 individuals in households with $10,000 or more in investments, the Center for Audit… READ MORE ›

NRSROs Still Under Scrutiny

Conflicts relating to the work of credit rating agencies, also known as Nationally Recognized Statistical Rating Organizations (NRSROs), are not new. And debate about their ability to handle conflicts of interest is not about to go away, thanks to… READ MORE ›

Money Market Funds: To Swim or to Float

Ever since the Reserve Primary Fund “broke the buck” in September 2008, the systemic risk potential of money-market mutual funds (MMFs) has generated enormous interest from around the globe. To “fix” what some have perceived… READ MORE ›

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