News – Bates Research

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 of the Dodd-Frank Act.

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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 debt (4.8%) and Treasuries (2.1%). The situation in Puerto Rico could mark a dramatic turn for municipal investors, who must once again face declining price pressure on the island's bonds.

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Puerto Rico Recovery Act

On June 25th, Governor Padilla laid out a proposal to allow some of Puerto Rico's public corporations to enter into a bankruptcy-like process.

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The Jobs Recession is Finally Over

Six-and-a-half years after the onset of the recession, the total number of people employed has finally risen above pre-recession levels, marking the jobs recession as finally over.

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Fannie, Freddie and Housing

Fannie Mae and Freddie Mac had stellar results in 2013, which have continued into 2014.

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FINRA Warns on HY CDs

FINRA issued a new investor alert recently warning against potential scams involving high-yield CDs.

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Puerto Rico Faces Unified Strike

Bates Group, via our strong connections to the island, has been hearing rumors of a government strike for the last several weeks.  Since May 21, more than 20 leaders of various workers’ syndicates representing government employees have made it known that they are planning an island-wide work stoppage to protest the government's proposed Fiscal Sustainability Law.

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A Shrinking Economy in the First Quarter

The second estimate of U.S. GDP showed the economy contracting in the first quarter for the first time in three years. In the quarter, gross domestic product declined at a 1.0% annual rate.

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CLOs – The Quest for Yield

As we enter the summer months of 2014, following a five year bull market in equities, the quest by professional investment managers and individual investors for yield and returns continues...

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SEC - Investment Fund Fraud

In the last month, the SEC's Enforcement division had substantial activity on seven civil actions and one criminal action related to investment fund fraud.

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Page 27 of 30 pages.

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