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Wall Street & Technology
May 21, 2007
Les Kovach |
Latest Market Data Dispute Over NYSE's Plan to Charge for Depth-of-Book Data Pits NSX Against Other U.S. Exchanges The NYSE filed a comment letter with the SEC supporting a review of the Commission's approval of the NYSE's fee proposal as well as a review of the current market data revenue-sharing formula under Reg NMS.   |
Wall Street & Technology
March 19, 2007
Cory Levine |
SIFMA and NetCoalition Set Off Market Data Dispute Lobbyists SIFMA and NetCoalition have convinced the SEC to conduct a rare review of market data fees, setting off a spirited debate between exchanges and broker-dealers, such as Charles Schwab. |
Wall Street & Technology
February 12, 2007
Mark Madoff |
Ask the Experts: Trading Q: Will SIFMA's request to have the SEC examine the NYSE's new market-data fees have any impact on the future fee structure(s)?... A: Most of the industry's efforts to prepare for Regulation NMS have been directed at dealing with automating quotes... |
Registered Rep.
July 20, 2007
Christina Mucciolo |
SIFMA Says Keep the 12b-1 Fees, Ad Infinitum The securities industry is fighting tooth and nail to save 12b-1 fees, which it says are a necessary part of doing business. |
Investment Advisor
June 2008
Melanie Waddell |
A Long, Hot Regulatory Summer Rules from the SEC on credit ratings agencies, 12b-1, soft dollars, and hedge funds |
The Motley Fool
April 18, 2007
Amanda B. Kish |
The SEC Gets It Right The agency revisits governance rules and fees for mutual funds. |
Registered Rep.
July 15, 2011
Kristen French |
SIFMA Wants Fiduciary Standard Governed By Client Contracts Broker/dealer trade group SIFMA fired off the latest round in the ongoing tangle over the fiduciary standard Thursday. The group sent a letter to the SEC that recommends creating for broker/dealers a modified version of the fiduciary standard that currently governs investment advisers. |
The Motley Fool
October 27, 2004 |
Fussing About Fund Fees Mutual fund fees may look small, but they can eat much of your earnings. |
Wall Street & Technology
June 22, 2004
Ivy Schmerken |
How Low Can You Go? Reg NMS' proposed formula for allocating market-data revenues among exchanges isn't getting a warm welcome on the Street. |
Investment Advisor
December 2006
Kathleen M. McBride |
Three-Part Harmony Financial advisors, sing along as the SEC is set to look at proposals for regulatory rules that have been harmonized in an attempt to eliminate, or greatly reduce, conflicts, duplication, and confusion, in a new hybrid set of rules. |
Registered Rep.
January 16, 2013
Diana Britton |
DOL's Fiduciary Proposal Presents Renewed Threat to Securities Industry SIFMA expects a DOL fiduciary proposal in the second quarter of this year, renewing the industry's concern over the possible legislation, which the organization says is contrary to the SEC's. |
The Motley Fool
December 26, 2006
Dan Caplinger |
The SEC's Gift to You: Part 2 By giving the investing public access to information, and serving as a regulator with the power to take action to correct problems, the SEC works hard to protect investors. |
Registered Rep.
February 18, 2004
John Churchill |
SEC Puts Forth Mutual Fund Rules Proposals The SEC has put forth three proposals that could drastically change the way mutual funds are sold. |
The Motley Fool
August 24, 2007
Amanda B. Kish |
Fund Fees Under the Magnifying Glass Make sure you know how much you're paying for your fund. |
Registered Rep.
August 28, 2007
John Churchill |
SEC Principal Trade Proposal: A Stalling Tactic? A 2-year "interim rule" would allow large brokerage firms that also have many other business lines to meet their fiduciary obligations to customers while still engaging in principal trading activity -- selling customers products from their own inventory. |
Registered Rep.
May 14, 2007
John Churchill |
"Merrill Lynch" Rule Dead, But SEC to Ask for Time The securities industry still hopes that the SEC will somehow come up with a new plan to keep the fee-based brokerage account from coverage by the Investment Advisers Act of 1940, which mandates that to offer financial advice, you have to be a fiduciary. |
Registered Rep.
January 23, 2011
Kristen French |
SEC Recommends Strict Fiduciary Standard For Broker/Dealers An SEC study released over the weekend could represent a major push towards a more uniform regulatory framework for the fragmented wealth management business. |
The Motley Fool
July 29, 2004
Selena Maranjian |
Beware of Redemption Fees There's an almost-reasonable fee funds charge, but don't get caught by it. |
Financial Advisor
October 2012 |
Stalled: Tougher Fiduciary Standard For Brokers Even with Wall Street and consumer advocates allied in pushing for it, a U.S. Securities and Exchange Commission proposal to raise standards for brokers advising retail investors has run aground. |
Wall Street & Technology
September 11, 2007
Larry Tabb |
The Boston Equity Exchange (BEX) Calls It Quits It was the first of the regional exchanges (dealer-capitalized or not) to throw in the towel. But what does this mean? Is the Boston Stock Exchange dead? Is it valueless? |
Entrepreneur
October 2009
Rosalind Resnick |
Conquering Your Fear of Fees Savvy investors know to read the fine print about money-management charges. |
BusinessWeek
August 16, 2004
Anne Tergesen |
The 529 Ate My Tax Break The high fees that some 529 college savings plans charge can substantially erode, or even erase, their tax advantages. |
Investment Advisor
February 2007
Melanie Waddell |
Watch Out Broker/dealers and RIAs alike should ready themselves for a number of initiatives being worked on by their regulators in the New Year. |
BusinessWeek
December 22, 2003
Amy Borrus |
Funds: Leaving Little Guys Out In The Cold The SEC's cleanup of mutual funds could shortchange small investors. |
Registered Rep.
September 21, 2007
Halah Touryalai |
Banks Officially Welcomed into the Brokerage World Under New SEC Rule It only took eight years, but the SEC and the Board of Governors of the Federal Reserve System passed final rules defining how banks can act as securities brokers. |
BusinessWeek
September 22, 2003
Der Hovanesian et al. |
How to Fix the Mutual Funds Mess Hidden fees, lax boards, and now scandal. Here's what has to be done. |
The Motley Fool
March 9, 2007
Mary Dalrymple |
Fee, Fie, 401(k), Fum How much do you know about your 401(k) fees? |
Wall Street & Technology
June 13, 2006 |
Positioning for Consolidation In a recently released update on the global stock exchanges, Financial Insights weighs in on market consolidation and the direction of the securities industry in the wake of regulatory, technological and competitive pressures. |
AskMen.com
Ryan Ortega |
Invest On A Budget With a little planning and common sense, you can invest on a budget with very little money up front and, hopefully, a large payout in the end. |
Investment Advisor
December 2009 |
GroupThink News from the Financial Planning Associate (FPA), the Investment Company Institute (ICI), and the Securities Industry and Financial Markets Association (SIFMA). |
The Motley Fool
June 22, 2006
Anders Bylund |
Why Do Stock Exchanges Matter? Don't know your Nasdaq from your NYSE? Here's the lowdown. |
The Motley Fool
October 13, 2006
Mary Dalrymple |
Free Trade at Bank of America? The megabank offers no-fee stock trades. |
Registered Rep.
March 11, 2009
Christina Mucciolo |
Brokers Versus Advisors--SIFMA Wants "Universal," Not Fiduciary, Standard Will the patchwork rules governing the conduct of Series 7 holders and registered investment advisors, a patchwork that confuses the public, finally be sorted out? |
Wall Street & Technology
February 12, 2007
Cory Levine |
Exchanges Lag in IT Spending Despite the global reinvention of securities exchanges as for-profit companies, IT spending by exchanges will continue to lag behind that of brokers and asset managers, according to research. |
The Motley Fool
October 20, 2009
Anders Bylund |
Why Stock Exchanges Matter Does it really make a difference where your shares trade? |
BusinessWeek
October 13, 2003
Robert Kuttner |
The Big Board: Crying Out for Regulation The Grasso pay debacle means the SEC should supervise the NYSE. |
Investment Advisor
May 2007
Kathleen M. McBride |
Exemption Vacation "To be, or not to be?" a fiduciary is the question of the hour for broker/dealers. |
Registered Rep.
January 1, 2008 |
2008: A Glass-Half-Full Kind Of Year? An economic prediction from the Securities Industry and Financial Markets Association. |
Investment Advisor
March 2007
Ken Weber |
401(k) Plans' Dirty Little Secret Without fair, vigorous competition among 401(k) plan providers, millions of plan participants will be saddled with burdensome costs. And without disclosure, employees cannot pressure employers to seek more cost-effective plans. |
BusinessWeek
September 23, 2010
Nina Mehta |
Missing: The Stock Exchange Buyers of Last Resort While increased competition in stock trading has lowered costs, it may have made the markets more vulnerable to rapid price moves. |
Investment Advisor
July 2007
Jonathan Henschen |
B/Ds in the Year 2010 What the future holds for independent broker/dealers: technology... outsourcing... marketing... practice management... succession planning... alternative investments... fees... |
Registered Rep.
January 23, 2015
Megan Leonhardt |
SIFMA Questions The Numbers in White House Research on Broker Conflicts Investors could be losing 10 to 15 percent of their potential retirement savings because of conflicted advice from brokers, according to a memo written by White House economic advisors that could galvanize presidential support for new rules governing advisors of ERISA accounts. |
Financial Advisor
June 2007 |
Frontline News SEC Won't Appeal Court Decision... Fidelity Offering For RIAs... 12(b)-1 Fees, Advisors' Growing Role, Are Focus At ICI Fund Conference... etc. |
| Knowledge@Wharton |
Global Securities Markets Present Tough Challenges for Investors and Regulators The bursting of the Internet bubble, the collapse of Enron and the emerging demutualization of securities exchanges, especially in Europe, have brought the role of securities market regulators into sharper focus than before... |
Wall Street & Technology
November 21, 2006 |
The World After MiFID LogicaCMG explores the potential impacts of the Markets in Financial Instruments Directive and forecasts three scenarios that may play out in the E.U.'s capital markets over the next five years. |
Registered Rep.
April 1, 2006
Kristen French |
Your Fees Under the Regulator Microscope Financial advisors had better be able to justify their fees, because regulators have been busy examining fees charged to retail clients. |
Registered Rep.
December 1, 2006
Kevin Burke |
SEC Chairman Endorses Single SRO Now that SEC Chairman Christopher Cox has made creating a single SRO for the brokerage industry a top priority, why are some suddenly wondering if it's a good thing after all? |
CFO
May 8, 2006
Rob Garver |
Super-Market Shopping Flush with cash and a mandate to go electronic, stock exchanges prepare to consolidate. |
Registered Rep.
June 20, 2007
Kevin Burke |
Fund Fees Sink to Lowest Level in 25 Years, but Why? Is it the result of investor preference for lower-cost funds, increased competition among fund companies -- or fallout from the fund trading scandal? |
Wall Street & Technology
March 21, 2006
Larry Tabb |
Reg NMS: A Pox on All Your Houses The SEC's Reg NMS will significantly alter the way the markets and the industry as a whole operate. Instead of the market consolidation we have seen over the past few years, we are seeing a market fragmentation, as regional exchanges retool and ECNs proliferate. |
