Posts Tagged: sec

Meryl Wiener is a Partner at Warsaw Burstein, LLP in New York City. Ms. Wiener advises financial institutions, investment managers and hedge funds on a broad range of regulatory, compliance, securities, registration, inspection, organizational and structural matters.She focuses on the Investment Advisers Act of 1940 and represents clients in connection with regulatory examinations and enforcement proceedings…. Read Article →

Annie Waldman, ProPublica A much-criticized group that accredits for-profit colleges announced Monday that it would temporarily stop taking new applications from campuses. The Accrediting Council for Independent Colleges and Schools described the move as an effort to restore “trust and confidence.” ProPublica and others have detailed serious problems at the organization. As ProPublica reported, students… Read Article →

Earlier today, the Department of Labor today released long-awaited regulations that will likely have a significant impact on the way retirement advice is delivered throughout the country. These regulations, known as the ‘fiduciary rules’ or ‘fiduciary standards’ are scheduled to into effect by January 1st, 2018. Registered investment advisers have already been held to a fiduciary… Read Article →

Website: A product of the Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy, is an online resource that strives to serve individuals by helping them invest more wisely and assist in avoiding fraud. On the Investing Basics page – a good place to start for novice investors – it is… Read Article →

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