Dear Readers,
Is 2008 about to repeat?
Jun 1, 2018 8:30:46 AM / by Bo J. Howell posted in Investment Advisers, recession, CDS, Corporate debt, Derivatives, financial crisis
The SEC is Nervous About Options
Mar 19, 2018 10:52:54 PM / by Bo J. Howell posted in 1933 Act, Investment Advisers, LJM Fund, Options, SEC Updates, 1940 Act, Derivatives, Directors/Trustees
Why is the SEC nervous?
On February 23, 2018, Commissioner Kara M. Stein gave a speech at SEC Speaks in Washington, DC. During the speech, Commissioner Stein raised broad ethical and economic considerations regarding the rapid advances in financial product innovation, which appears to be accelerating as financial firms increasingly use technology to expand their product line and deepen their reach into retail markets.