The SEC has approved a rule that requires companies to compare CEO and average worker pay — the “pay ratio” rule. Will it be a useful tool for investors or simply a way to shame companies and their boards?
Following recent legislative developments, the debate over whether to shift investment adviser oversight from the SEC to an SRO continues.
CFA Institute urges a single standard of care from those who advise investors that honors client interests above all others.
SIFMA proposal clings to antiquated idea that product sales is reasonable substitute for quality investment advice.
Labor Department takes innovative approach by sidestepping many thorny issues that plagued earlier proposals, but questions remain.
Aging population and shift from employer to individually directed retirement plans have placed “senior” investors in the spotlight.
We have reached that inevitable point where we have to decide which is more important: the interests of our clients or our own narrow self-interests.
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.
Global regulators are grappling with a problem of unexpected size — not the number of technical standards they need to transcribe but something more palpable: the lack of manpower.
It's time to remove ambiguity around “personal investment advice” while permitting different business and service models.
Amid growing momentum to give shareholders the right to nominate director candidates on a company's ballot, Matt Orsagh, CFA, makes case for SEC “to take another look at proxy access.”
The SEC’s rejection of BlackRock’s ETF application has raised questions about the future direction of this segment of the market.
In a surprise move, SEC reverses controversial December decision that allowed companies to exclude shareholder ballots that conflict with management’s own proposals.
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