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Schwarcz on Managing Systemic Risk
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October 23, 2011 @ 10:17 am |
Keynote Address: A Regulatory Framework for Managing Systemic Risk, by Steven L. Schwarcz, Duke University - School of Law, was recently posted on SSRN. Here is the abstract: This accessible analysis of systemic risk regulation was delivered as the keynote......
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Poser on Janus Capital
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October 23, 2011 @ 10:13 am |
The Supreme Court’s Janus Capital Case, by Norman S. Poser, Brooklyn Law School, was recently posted on SSRN. Here is the abstract: In Janus Capital Group, Inc. v. First Derivative Traders, a divided Supreme Court created the unprecedented doctrine that......
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State Securities Commissions & E*Trade Settle ARS Claims
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October 23, 2011 @ 10:03 am |
NASAA recently announced that a settlement in principle has been reached between E*TRADE Securities LLC and state securities regulators to return approximately $100 million to the firm’s clients who have had their funds frozen in the auction rate securities (ARS)......
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SEC Announces Roundtable on Measurement Uncertainties
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October 23, 2011 @ 9:56 am |
The SEC announced that the inaugural roundtable in the Financial Reporting Series will be held on November 8. The purpose of the Financial Reporting Series is to proactively help identify risks and potential improvements in the financial information provided to......
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SEC Sues Hedge Fund Manager in Insider Trading Case
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October 23, 2011 @ 9:50 am |
The SEC announced additional charges in its insider trading case against Denver-based traders who traded on confidential information in the securities of Mariner Energy Inc. ahead of the oil and gas company’s $3.9 billion takeover by Apache Corporation in April......
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NAPFA fears fallout from Spangler probe
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October 23, 2011 @ 5:01 am |
The National Association of Personal Financial Advisors, whose members consider their fee-based model to be the gold standard for unbiased advice, is worried that its reputation will be tarnished in light of a second high-profile investigation involving one of its former top officers...
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'Absolute return' is absolute nonsense
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October 23, 2011 @ 5:01 am |
At times like these, when it seems that every effort is made to protect investors, it boggles the mind that regulators and the financial services industry overall can't see the irony in mutual funds' using the term “absolute return”...
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Father of '9-9-9' plan is a Wells Fargo adviser
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October 23, 2011 @ 5:01 am |
Cleveland financial adviser Rich Lowrie's first hint that Herman Cain's campaign might catch the public's attention came last May when Mr. Lowrie was still interviewing for the role of the Republican presidential contender's economic adviser...
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