Year: 2009

Ameriprise Financial Services, Inc. settled an action with the SEC regarding the payment of undisclosed compensation in connection with the offer and sale to its brokerage customers of real estate investment trust shares. In the Matter of Ameriprise Financial Services, …

BROKER SETTLES ACTION REGARDING UNDISCLOSED COMPENSATION Read More »

A key part of the Treasury White Paper on financial market reform, discussed here, focuses on increased regulation over the OTC derivatives. Those proposals have engendered significant interest from many market participants. Lobbying reportedly is intense, particularly with respect the …

OTC DERIVATIVES REGULATION: A GLOBAL EFFORT Read More »