The SEC commissioners conducted a brief 55 minute hearing on April 28, 2004 that set the stage for the global financial crisis (GFC) which began to unfold in early 2007 and reached full boil in September 2008. As far as I’m aware, only five companies applied for SEC permission to become CSE’s (Consolidated Supervised Entities). […]
Sly and the Family Stone came out with “Let me take you higher” in 1969, it seems a sales trader at a large Wall St firm has taken those boom lacka lacka, boom lacka lacka lyrics to heart. It’s true, it happened, as to whether or not it’s legal, that’s why the SEC is going after […]
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HFT (High frequency trading) and the continuing SEC debate requiring a uniform fiduciary standard of care pose two potential strikes against trustees of family and charitable trusts, Pension (Corporate, Union and State, County and City Public Employees) and 401k plans, and directors and members of investment committees and boards of foundations, endowments and non-profit, tax […]