Topic: U.S. Securities And Exchange Commission

Securities regulators have a chance to stand for average investors.Securities regulators have a chance to stand for average investors.It’s time for one standard of service for all professionals providing financial advice.My reasoning is simple: Most individual investors don’t know there is a ...

WASHINGTON (Reuters) - U.S. securities regulators recommended a new uniform fiduciary standard on Friday for broker-dealers and investment advisers that would require them to put their retail customers' best interests first.The proposed new standard, recommended in a study by the Securities and ...

WASHINGTON (Reuters) - U.S. securities regulators are preparing to release two key studies this month that could lead to major changes in how investment advisers and brokers who offer advice to retail customers are regulated.The studies, mandated by the Dodd-Frank financial reform ...

Financial advisors are professionals who advise clients on their personal financial plans by determining their assets and liabilities, tax status, and fiscal goals as well as taking into consideration factors such as pension plans and insurance coverage. The median annual wage of ...

You've just received notice that you're the benefactor of a sizable estate, but with this awesome gift comes the awesome responsibility of managing that money properly. Credentials Financial planners who earn professional credentials display a tangible commitment to their profession and their ...

Your portfolio hasn't been doing well lately. If you think it could be the latter, then consider the following ideas that could help you to revitalize your portfolio. For example, there is an old saying on Wall Street that goes "sell in ...

losing money feels awful, and when losses start to stack up, it's human nature to start looking for somebody to blame. Financial Industry Regulatory Authority Don't Jump the Gun An important point is that simply losing money on an investment doesn't mean ...

Give me six hours to chop down a tree, and I will spend the first four sharpening the ax. If you feel that you can devote four to five hours per week to research, you can aim toward owning a few individual ...

Lending sites such as Lending Club specialize in these types of loans. The site facilitates the selling of loans in the form of notes called a Member Payment Dependant Note issued by the Lending Club. The unsecured notes are registered with the ...

As an investor you depend upon your broker for critical information and advice. " A good broker will actively manage your account, however, your broker shouldn't be trading in and out of securities too frequently, or overtrading, unless you specified your desire ...