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.
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.
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.
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.
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 ›
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