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  1. Five Surprises and What They Mean for Investors

    Morningstar markets editor Jeremy Glaser unpacks the LinkedIn IPO, changes atop the IMF, a negative surprise at HP, and more.

  2. Key Metrics for Money Market Funds

    With the SEC dismissing a plan to reform the money fund industry, Morningstar's Eric Jacobson examines potential risks as well as focus points for investors going forward.

  3. What Would Reform Mean for Your Money Market Fund?

    Morningstar's Christine Benz and Miriam Sjoblom debrief investors on the floating NAV, capital buffer, and redemption restriction proposals for money market funds.

  4. Proposal Could Change the Way You Pay for Funds

    Morningstar's Karen Dolan and Russ Kinnel on what the SEC's recent fund fee proposal may mean for investors, and what still needs to be done.

  1. SEC, FINRA Enforcement Roundup: Allianz, TheStreet Charged

    Among recent enforcement actions taken by the SEC were charges against Allianz for violations of the Foreign Corrupt Practices Act that resulted in penalties of more than $12.3 million; against a Connecticut-based advisor for telling clients it was investing in the same collateralized debt ...

  2. SEC Enforcement Roundup: Hedge Fund Manager Fined $44 Million in China Scheme

    Among recent enforcement actions taken by the SEC were charges against a Miami-based entrepreneur for defrauding investors.

  3. SEC Targeting 4 Hedge Fund Developments in 2013

    Bruce Karpati, head of the SEC’s Asset Management Unit, housed within the agency’s Enforcement Division, told compliance officers that overseeing hedge funds’ compliance will continue to be a priority for the agency next year.

  4. SEC Bars Advisor for False Registration

    The Securities and Exchange Commission has initiated cease-and-desist proceedings against a New York-based advisor for submitting false information on a registration form in a bid to duck its regulatory obligations with state authorities.

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