“Client Relationship Summary” Form, New Form Mandated by SEC … We like it!
Form CRS
Tag SEC
Fiduciary …..A note to the SEC from John Kvale of J.K. Financial, Inc.
What is a Fiduciary?
Vote of Confidence….SEC says “OK” to Twitter, Facebook and others….J.K. Financial, Inc. Opens Comments
www.street-cents.com comments are turned on and promise a response if you have a question.
Leveraged ETF’s, Not For Us, and Maybe Not for Much Longer!
Since the introduction of leveraged ETF’s we have been a very strong critics of the use of such instruments, now the SEC is opening an opinion period, which we intend on voicing our concerns. Recall, ETF’s are mostly baskets of investments, mimicking…
Lunch with Scott Patterson, Author of “The Quants” and An Evening of Ethics Discussions with the SEC
Yesterday I had the opportunity to have lunch with and listen to Scott Patterson, author of “The Quants” in a group setting here in Dallas. While I have not read the book, Scott, who also is a reporter for the Wall…
Uptick Rule Quietly Implemented; Positive Step Towards Capital Market Confidence
As we had mentioned in our prior post, the SEC voted, and approved, 3-2 (surprisingly close) to re-instate the Uptick/Downtick/Short Selling rule. We applaud the reinstatement and are slightly disappointed in the meager fan fare it has received up to…