retail investors

• SEC Asks for Feedback on Advisers

  March 8, 2013

  When it comes to the type of advice investment advisers and broker-dealers give, the SEC wants to know if new rules are needed to ensure that the information they’re sharing fits with their clients’ needs.

• Investors Asked to Weigh in More on Advisers, Broker-Dealer Conduct

  By Michelle Samaad  |  March 5, 2013

  Regulator wants investor input on whether new regulations are needed.

• World Council to IASB: Reduce Compliance Burdens on CUs and Members

  By Heather Anderson  |  January 29, 2013

  Council reps at International Accounting Standards Board panel discussion on Monday.

• Aite: Debt Stall Exacerbates Investors’ Fears

  By Michelle A. Samaad  |  July 26, 2011

  The current government debt crisis in the United States adds another layer of fear for retail investors, a new report says.

• Brokers Brace for Transparency Rules; Advisers Build on Existing Model

  By Michelle A. Samaad  |  October 20, 2010

  Of the litany of regulations coming around the bend within the retail investment space, financial advisers said they are most concerned about the fiduciary standard and additional disclosure rules.

• Financial Reform Act Will Pump Up Investor Protections

  By Michelle A. Samaad  |  August 4, 2010

  Joe and Jane Consumer may be overwhelmed with what the recently enacted legislation aimed at overhauling financial services means in their day-to-day lives. But advocates say the changes are really in their best interest.