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News - February 13 2015

FINRA Hires Quant Help

On Wednesday, FINRA made an important hire. Erozan Kurtas, previously part of the analytics group at the SEC, will move to FINRA…

News - February 06 2015

S&P Settles DOJ Claim

On Tuesday, S&P finally settled a long-standing matter with the DOJ and various other entities. The final settlement value was close to…

News - January 30 2015

Solid U.S. Growth but Weakness Still Present

In the first reading of the U.S. economy’s performance for the last quarter of 2014, the Commerce Department released its “advance” estimate,…

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ERISA Part Four - ERISA - 3(16)

News - January 23 2015

S&P Settles with SEC

On Wednesday, S&P reached a settlement with the SEC over allegations of fraudulent misconduct in its rating procedures.

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ERISA Part Three - Due Diligence for Service Providers

News - January 16 2015

Swiss Franc Shocks Markets

On Thursday, the Swiss National Bank unexpectedly announced that it would no longer seek to defend an exchange rate of 1.20 Swiss…

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ERISA Part Two - Choosing the Right Type of Investment Advice

News - January 09 2015

The Retirement Tsunami and Investment Suitability

FINRA released its 2015 priorities on Tuesday, which included a focus on the unique issues impacting senior investors for this year. One…

News - December 19 2014

Markets React to Fed Statement

Federal Reserve Chair Janet Yellen spoke this past Wednesday, outlining the FOMC's monetary outlook after its latest meeting. Much of the outlook…

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ERISA Part One - 3(21) v 3(38) Investment Assistance

News - December 12 2014

Vanguard to Advise Smaller Investors

This Monday, Vanguard announced that it would be ramping up its efforts in financial advising in 2015. The mutual fund company best…

News - December 05 2014

FBI Raids Puerto Rico Agency

In a surprise raid on the offices of the Puerto Rico Highway Transportation Authority this Wednesday, the FBI arrested Treasurer Silvino Cepeda-Ortiz.

News - November 21 2014

Another Flash Crash and New Rules

Home Depot became the latest security involved in an algorithm-driven "flash crash" this past Tuesday.

News - November 14 2014

FINRA IPO Investigation

Several banks, including Goldman Sachs and JPMorgan, are close to reaching a settlement with FINRA related to their IPO processes. Information out…

News - November 07 2014

SEC Fines Firms for Puerto Rico Sales

On Monday the SEC announced it was fining 13 firms for transactions associated with Puerto Rico debt issued last March.

News - October 24 2014

Volatility Returns to the Market

Volatility has been on the rise recently, and many pundits have warned that this could be a negative turn of events for…

News - October 16 2014

PIMCO Total Return Fund

It has been a bad year for PIMCO's Total Return bond fund, normally a stalwart presence in fixed income markets.  After the…

News - October 10 2014

More Detail on New Puerto Rico Debt

Additional details on Puerto Rico's planned debt issuance came out this past week. Previously, we reported that Puerto Rico would enter markets…

News - October 03 2014

Banks Exit Benchmark Reporting

As regulators worldwide search for viable alternatives to LIBOR (and similar benchmark rates), many banks have distanced themselves from these benchmarks already…

News - September 26 2014

Argentina Fights Default

Argentina's messy navigation of its latest default continues – this time with an attempt to circumvent the U.S. ruling preventing it from…

News - September 19 2014

Puerto Rico Approaches New Debt Issue

Puerto Rico will be returning to capital markets within the next month to raise $900 million in needed funds.

News - September 12 2014

Exchanges Face HFT Lawsuits

A class action lawsuit has been filed in the Southern District of New York, challenging stock exchanges' established immunity from damages. The…

News - September 05 2014

Fed Seeks LIBOR Alternative

This week the Federal Reserve renewed its call for an alternative benchmark to LIBOR. Fed governor Jerome Powell gave a speech Thursday…

News - August 22 2014

Fed Considers Repo Reform

Pundits examining the failures of the financial system that precipitated the Credit Crisis of 2008 often point to two areas of the…

News - August 15 2014

FINRA Fines High in First Half 2014

FINRA recently made available disciplinary data for the first half of 2014, and the numbers are up sharply from 2013. 

News - August 08 2014

Asset Managers Avoid Extra Oversight

Two of the industry's largest asset managers can breathe a little easier this week. After a long lobbying campaign BlackRock and Fidelity…

News - August 01 2014

Another Default for Argentina

A blog post is too short a forum to fully explain the last decade of debt reshuffling in Argentina, but we hope…

News - July 25 2014

SEC Passes Money Market Reform

The SEC, by a narrow vote of 3 to 2, passed new laws this week which would limit the ability of money…

News - July 18 2014

A New Fiduciary Standard

The SEC has been mulling over a new fiduciary duty rule, which it was granted the authority to issue by Section 913…

News - July 11 2014

PREPA and Puerto Rico

So far, 2014 has been a good year for municipal investors, who are up 5.6% year-to-date, compared to investors in high-rated corporate…

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High Frequency Trading - Intro Guide