7 Tips For Finding A Financial Advisor You Can Trust

The approach of the new year is when many people decide whether to renew their relationship with their financial advisor — or retain one for the first time. So that makes it a good time also to review what steps can help you find a financial advisor you can trust. At the least, you could […]

In Human-Robo Advisor Fight, Investors Don’t Have to Choose

Most robo-advisors offer some level of human interaction, so nervous investors don’t have to take on investing all by themselves Robo-advisor or human advisor — the idea that an investor must choose one or the other is a myth, according to research released in December by Cerulli Associates. According to the December edition of The […]

SunPower Announces Pricing of $400 Million Aggregate Principal Amount of its 4.00% Senior Convertible Debentures due 2023

SAN JOSE, Calif., Dec. 9, 2015 /PRNewswire/ — SunPower Corp. (NASDAQ: SPWR) today announced that it has priced the previously announced private offering of $400 million aggregate principal amount of its 4.00% senior convertible debentures due 2023. The sale of the debentures is subject to market and other customary conditions and is expected to close on December […]

CFTC proposes new regulations for algorithmic trading

On November 24, 2015, the CFTC announced the new proposed Regulation Automated Trading (“Reg. AT”), which contains a variety of measures designed to prevent potential market disruptions arising from algorithmic trading.   Among other things, Reg. AT proposes certain pre-trade risk and order management controls, the implementation of policies and procedures governing algorithmic trading, and additional registration and reporting obligations.  […]

CFTC Brings First Insider Trading-Type Enforcement Action Based on New Anti-Manipulation Authority

Last week the Commodity Futures Trading Commission brought and settled its first enforcement action sounding in the securities concept of insider trading, relying on the relatively new Dodd-Frank Wall Street Reform and Consumer Protection Act’s prohibition against employment of a manipulative or deceptive device in connection with futures trading. According to the CFTC, from September […]