MF Global's bankruptcy illustrates again that excessive financial leverage is dangerous, that regulators must remain on high alert for dangerous situations and that they must act expeditiously when they perceive that a firm's leverage appears too high
The following is an edited version of an Oct. 12 speech by Paul Schott Stevens, president and chief executive of the Investment Company Institute, before the Rotary Club of Seattle
Unless a 5-basis-point yield somehow sounds like a good deal, it might be time to start looking beyond the basic money market mutual fund
Let's hope that Finra has learned a lesson from the public flogging it received after it was reported that a regional official allegedly doctored the minutes of internal staff meetings that were then turned over to SEC examiners
The following is an edited version of an Oct. 17 speech by Carlo V. di Florio, director of the Securities and Exchange Commission's Office of Compliance Inspections and Examinations, at the annual meeting of the National Society of Compliance Professionals in Baltimore
It is time our elected leaders and presidential wannabes treat America's jobs crisis as the social and economic catastrophe that it is, and not just as fodder for 2012 campaigns
The following is an edited version of a speech given by Richard G. Ketchum, chairman and chief executive of the Financial Industry Regulatory Authority Inc., Oct. 13 at the Security Traders Association's annual conference in Palm Beach, Fla.
