08/30/2010
Investors should be very cautious when considering trading in stock after the SEC has suspended trading in the shares. An SEC trading suspension is a “red flag,” often indicating the SEC has concerns about the information that the company has been providing to the public. By law, an SEC suspension usually ends after ten business days, even if the company has not provided current, accurate information about itself. However, when a company does not provide current, reliable information about itself and its finances, trading its shares can be very risky.Read more08/04/2010
Investment advisers provide a wide range of advisory services and play an important role in helping individuals and institutions make significant financial decisions. To allow clients and prospective clients to evaluate the risks associated with a particular investment adviser, its business practices, and its investment strategies, it is essential that clients and prospective clients have clear disclosure that they are likely to read and understand. Read more07/29/2010
The Securities and Exchange Commission approved a new rule on June 30, 2010 to curbso-called “pay to play” practices in which investment advisers make campaign contributions to elected officials in order to influence the award of contracts to manage public pension plan assets and other government investment accounts.Read more06/09/2010
The Securities and Exchange Commission approved rule changes on May 26, 2010 designed to improve the quality and timeliness of information available to investors about municipal bonds.Read more05/07/2010
Investing for retirement can be complex. When deciding where to invest, you may need to make a variety of decisions, including how to balance the risk of losing money with the desire to increase your returns, keeping in mind that inflation may reduce the purchasing power of your savings and you or your spouse or partner may live longer in retirement than you expect. Recognizing this, a number of companies offer “target date retirement funds,” sometimes referred to as “target date funds” or “lifecycle funds.”Read more08/30/2010
Investors should be very cautious when considering trading in stock after the SEC has suspended trading in the shares. An SEC trading suspension is a “red flag,” often indicating the SEC has concerns about the information that the company has been providing to the public. By law, an SEC suspension usually ends after ten business days, even if the company has not provided current, accurate information about itself. However, when a company does not provide current, reliable information about itself and its finances, trading its shares can be very risky.Read more08/04/2010
Investment advisers provide a wide range of advisory services and play an important role in helping individuals and institutions make significant financial decisions. To allow clients and prospective clients to evaluate the risks associated with a particular investment adviser, its business practices, and its investment strategies, it is essential that clients and prospective clients have clear disclosure that they are likely to read and understand. Read more07/29/2010
The Securities and Exchange Commission approved a new rule on June 30, 2010 to curbso-called “pay to play” practices in which investment advisers make campaign contributions to elected officials in order to influence the award of contracts to manage public pension plan assets and other government investment accounts.Read more06/09/2010
The Securities and Exchange Commission approved rule changes on May 26, 2010 designed to improve the quality and timeliness of information available to investors about municipal bonds.Read more05/07/2010
Investing for retirement can be complex. When deciding where to invest, you may need to make a variety of decisions, including how to balance the risk of losing money with the desire to increase your returns, keeping in mind that inflation may reduce the purchasing power of your savings and you or your spouse or partner may live longer in retirement than you expect. Recognizing this, a number of companies offer “target date retirement funds,” sometimes referred to as “target date funds” or “lifecycle funds.”Read more