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  1. 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.

  2. 5 Resolutions for the Market

    Morningstar markets editor Jeremy Glaser highlights some must-dos in 2013 for banks, Blackberry devices, frazzled investors, and corporate America's balance sheets.

  3. How to Interpret Our CEF Analyst Ratings

    Cara Esser explains the fundamentals behind Morningstar's CEF Analyst Ratings and what investors should keep in mind before buying or selling a fund.

  4. 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.

  1. SEC Names New Deputy Director for Division Overseeing Advisors

    The Securities and Exchange Commission has tapped David Grim for the No. 2 spot in the Division of Investment Management, the bureau that oversees federally registered investment advisors.

  2. Legislative Insights

     

  3. FINRA Issues Crowdfunding Paperwork

    The SEC has already missed its end-of-the-year deadline on laying down rules for so-called crowdfunding of new companies. But FINRA has jumped into the regulatory void, issuing a voluntary form for prospective funding portals.

  4. 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 ...

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