Topic: Financial Industry Regulatory Authority


All Content

  • 401(k) planning: Tips for every age

    401(k) and other retirement savings are difficult for every generation. One major step is figuring out ways to reduce your debt load while simultaneously boosting your 401(k).

  • Can you manage your money? A personal finance quiz.

    Are you financially literate enough to manage your own money? Take our quiz. 

  • Facebook IPO: Six key dates in its debacle

    Facebook's first week as a publicly traded company will go down as a terribly botched corporate launch, perhaps one of the worst in recent history for such a highly visible entity. Eight days ago, it was the tech world's most highly anticipated initial public offering in eight years. Now, the social media company faces mounting legal woes and serves as an embarrassing example of how not to run an IPO. Despite rising insider pessimism about its growth prospects, Facebook kept boosting its asking price and the number of shares it would sell. The result: billions of dollars in losses; investigations by two congressional committees, the Securities and Exchange Commission (SEC), an industry watchdog, and the state of Massachusetts; at least 13 class-action lawsuits; and thousands of resentful shareholders who days later still were unsure how many Facebook shares they had or at what price. Here are six key dates in Facebook's unfolding IPO disaster.

  • The Reformed Broker Uniform perfomance standards for financial advisers?

    Because of the many different types of account management, evaluating a financial adviser's effectiveness can be difficult. New technologies can help.

  • Monitor Breakfast What keeps SEC chairwoman up at night? Money market funds (+video)

    The health of money market funds leads the list of worries of SEC chairwoman Mary Schapiro, America's top financial market regulator. Past wild swings in the stock market rank up there, too.

  • House committee subpoenas former MF Global CEO Jon Corzine

    House committee subpoenas former MF Global CEO Jon Corzine

    The former CEO of the bankrupt investment firm has been called before a congressional committee next week.

  • Top 4 tips to keep your broker honest

    Top 4 tips to keep your broker honest

    Maybe individual investors can’t fix the broad regulatory breakdown that has allowed financial frauds to occur, like dodgy mortgage-backed securities and Bernie Madoff’s pyramid scheme. But they can take steps to protect themselves against unscrupulous financial advisers. Knowledge is the best weapon. The more investors know, the less likely they are to be taken advantage of by a dishonest broker. Here are four ways you can ensure your broker is following the rules:

  • The value of a 'no stock picks' blog

    The Reformed Broker The value of a 'no stock picks' blog

    Why a blog with no stock picks can add value to your understanding the market.

  • Feeling pinched? It's no time to crack the nest egg.

    Feeling pinched? It's no time to crack the nest egg.

    Resist the urge to panic, say pros, and keep on investing for retirement.