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Articles tagged with: SEC

[15 Mar 2011 | No Comment | 4,091 views]
Video: How can investors review the background of a stockbroker or investment adviser?

In this video, Jason M. Kueser discusses how investors can research the background of stockbrokers and/or financial advisors.

[24 Sep 2009 | No Comment | 2,994 views]
Obama Administration Continues Push for Regulatory Reform

From Investment Fraud Blawg and Securities Fraud Blawg:
“A nation that forgets its past is doomed to repeat it.” — Winston Churchill
On Wednesday, September 23, 2009, several major media outlets published articles discussing the Obama administration’s continued efforts to enact enhanced regulatory reform over the financial markets.
Given what has occurred over the past two years, enhanced regulation is absolutely necessary. As Paul Krugman noted in a New York Times Op-Ed article: “In the grim period that followed Lehman [Brothers'] failure, it …

[21 Aug 2009 | No Comment | 3,049 views]
SEC joins FINRA In Cautioning Investors About Risks of Leveraged ETFs

From Investment Fraud Blawg, Securities Fraud Blawg, and Stockbroker Fraud Blawg:
Earlier this week, the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) issued a joint warning cautioning investors on the dangers in investing in leveraged ETFs and inverse ETFs. The two regulators issued the warning because they “believe individual investors may be confused about the performance objectives of leveraged and inverse exchange-traded funds (ETFs).”
The warning also notes that leveraged ETFs are designed to achieve their investment performance …