News

Court OKs Class Actions for ERISA Cases

A federal appellate court has ruled that it can be appropriate for a class of defined contribution plan participants to sue for relief under the Employee Retirement Income...

SEC Report Leaves Unanswered Questions

The Securities and Exchange Commission’s (SEC) anticipated report, “Study on Investment Advisers and Broker-Dealers,” came out late Friday, and by Monday morning, predictions for the future of the industry...

U.S. ETF Assets had Record Year

Exchange-traded fund (ETF) assets reached a record $995 billion in the United States at the end of 2010, according to State Street Global Advisors.

IMHO: Warning “Labels”

Litigation—or more accurately, the fear of litigation—frequently serves to put us on notice.