Analyst Disclosure Issues

Analyst Disclosure Issue Would Snag Brokers New NASD Proposal will require more disclosures by retail brokers. The war on analysts is now threatening brokers. In proposing heightened disclosures from analysts, […]

AIMR Addresses Analyst Conflicts 

By Dan Jamison The Association for Investment Management and Research (AIMR) is working on new guidelines to address analyst integrity and analyst conflicts. Charlottesville, Va.-based AIMR confers the Chartered Financial […]

Web Aggregators Under Scrunity

  Registration and Regulation Considered By John M. Baker, Esq. Web aggregation is among the most recent financial services developments. Web aggregators collect an individual’s financial account information from a […]