A common belief in the financial services industry is that individuals consolidate a large chunk of their assets among fewer providers as they near retirement
Although the run-up in emerging-markets debt may seem a little long in the tooth, a good case can still be made for purchasing these bonds.
The following are remarks delivered by Securities and Exchange Commission member Elisse B. Walter on Sept. 21 in San Francisco at the SEC's inaugural hearing on the state of the municipal-securities market
On July 22, the Securities and Exchange Commission released a report from its Life Settlements Task Force which recommended that the SEC urge Congress to amend federal securities laws to include life settlements as securities.
As lucky as my wife is to have me — and she will admit it if pressed — she also will admit (often when not pressed) that I can be a trial.
The past 15 years haven't been kind to the Securities and Exchange Commission in its role as the markets' top cop. On too many occasions, it has missed signals that the investing public was being scammed.
It looks like Finra isn't waiting for the Securities and Exchange Commission to figure out how high-frequency traders are affecting the market.
