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  1. How to Spot Con Men Before They Spot You

    Doug Shadel of the AARP provides a detailed outline of common scams and tactics con men use, reasons investors fall for them, and tips so that you don't become a victim of financial fraud yourself.

  1. Next Up for SEC's Champ? Money Fund Reforms, Valuation Guidance

    Norm Champ has been on the job as Director of the Division of Investment Management at the Securities and Exchange Commission for eight months and a lot of mutual fund executives are nervously waiting for the SEC has in store for the industry in 2013 and beyond.

  2. Oppenheimer Reaches $2.9 Million SEC Accord on Fund Holdings

    Oppenheimer & Co. agreed to pay about $2.9 million to settle claims by the U.S. Securities and Exchange Commission that it misled investors in a private-equity fund.

  3. SEC Not Deterred by Supreme Court's Fraud Ruling

    At the outset, the U.S. Supreme Court's latest ruling against the Securities and Exchange Commission-that there is a five-year limit on bringing fraud claims- may sound like a victory for mutual funds and their advisors.

  4. SEC Nominee White to Face Conflict Questions at Senate Hearing

    Mary Jo White, President Obama's choice to run the Securities and Exchange Commission, may be compelled to provide more information about her ties to large banks as senators press her about how she would operate as Wall Street's regulator.

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