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Tag Archives: Obama

Yes, the SEC is more active

July 20, 2009 – 12:00 am

If you think the Securities and Exchange Commission has been cranking out more enforcement actions since President Obama took office, you’re right, says a July 18 Harvard Law School Forum post by lawyers at Gibson, Dunn & Crutcher.
The numbers show a big increase in enforcement actions across various categories: new investigations opened (+23% in early 2009 vs. 2008), [...]

By Dick Johnson | Posted in Industry Blogs, Investor Relations | Also tagged Financial crisis & recession, Investor Relations, Regulation, Regulatory reform & SEC issues, SEC | Comments Off

Weekend Reading: Fiduciary Reform (exciting!)

July 3, 2009 – 10:37 am

If you elect to hold yourself out as a fiduciary, do you have to justify the use Why of mutual funds over index ETFs, which many point to as having a higher likelihood of outperforming a majority of funds net of fees and expenses? (Advice America)
If brokers are fiduciaries but can continue to be compensated on commissions, [...]

By New Rules of Investing | Posted in Uncategorized | Also tagged bonds, california financial crisis, fiduciary, finance, investing, stocks | Comments Off

New Rules of Investing Top Links 4/19/2009

April 19, 2009 – 6:34 am

Social Media

Barron’s getting all atwittered (sub. required) over new apps used for trading. Focusing on Twitter, this article illustrates how upstart brokerages like TradeKing and Zecco are incorporating social media into their trading platforms. Read whole article here.

Media firms are struggling with the traditional advertising model. All are considering extracting money directly from users/readers. Read [...]

By Zack Miller | Posted in Uncategorized | Also tagged china, financial advisors, financial reporting, global investing, industry news, mba, new rules, personal finance, social media, social networking, tax refund, web 2.0 | Comments Off

Regulation Redux - a risk for 2009

January 26, 2009 – 9:37 pm

As Congress and the new President grapple with the economic crisis, one outcome seems certain: re-regulation of US businesses.
Regulation Redux is at hand, and investor relations people need to think about how to discuss changing regulatory risks with shareholders. No doubt, upcoming 10-Ks should address the surge in regulatory activism. CEOs should be prepared to speak [...]

By Dick Johnson | Posted in IR trends & news, Industry Blogs, Investor Relations | Also tagged Investor Relations, Regulation, Risk | Comments Off