I've had my dream job. I have been able to work on issues that I have been deeply passionate about since I first began my career in the securities business nearly 38 years ago,

Our markets have not achieved their great successes as a result of government fiat, but rather through efforts of competing interests working to meet the demands of investors and to fulfill the promises posed by advancing technology.

Now, we all understand that directors aren't required to guarantee that their fund has the lowest fees, ... But they are required to ask whether fund investors are getting their money's worth.

Firms need to ensure that their ability to provide effective customer service keeps pace with their growth. If you're marketing your firm to new customers, you better be able to provide them service when they do business with you.

Another misconception is that an order is canceled when you hit 'cancel' on your computer. But, the fact is it's canceled only when the market gets the cancellation.

The motivation to satisfy Wall Street earnings expectations may be overriding common sense business practices, ... In the process, I fear, we are witnessing a gradual but inexorable erosion in the quality of financial reporting.