Bates Research | 08-15-14
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.
Detail
Bates Research | 08-15-14
FINRA recently made available disciplinary data for the first half of 2014, and the numbers are up sharply from 2013.
DetailBates Research | 08-08-14
Two of the industry's largest asset managers can breathe a little easier this week. After a long lobbying campaign BlackRock and Fidelity have finally convinced the Financial Stability Oversight Council (FSOC) that they should not be designated "systemically important."
DetailBates Research | 08-01-14
A blog post is too short a forum to fully explain the last decade of debt reshuffling in Argentina, but we hope that this post can serve as a suitable jumping-off point for those delving more deeply into the situation.
DetailBates Research | 07-25-14
The SEC, by a narrow vote of 3 to 2, passed new laws this week which would limit the ability of money market funds to claim a stable NAV of $1.00.
DetailBates Research | 07-18-14
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.
DetailBates Research | 07-11-14
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.
DetailBates Research | 07-02-14
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.
DetailBates Research | 06-30-14
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.
DetailBates Research | 06-20-14
Fannie Mae and Freddie Mac had stellar results in 2013, which have continued into 2014.
DetailBates Research | 06-13-14
FINRA issued a new investor alert recently warning against potential scams involving high-yield CDs.
DetailPage 49 of 52 pages.
Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.
Contact Bates Group