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Registered Rep.
December 30, 2009
Christina Mucciolo |
Independent Contractor Status On Senate's Agenda in 2010 The Financial Services Institute plans on lobbying against recently re-introduced legislation in the Senate that threatens financial advisors' "independent contractor" worker classification.   |
Bank Systems & Technology
December 29, 2009
Henry Ristuccia |
Washington's Regulatory Agenda Will Shape Banks' Risk IT Strategies Now is the time to examine governance, risk and regulatory compliance processes and to get your house in order so that your bank can be ahead of any requirements that may be enacted. |
Investment Advisor
January 2010
James Damschroder |
Delivering Diversification An approach that parses diversification from the rubric of risk gives advisors a new element of control. |
Investment Advisor
January 2010
James J. Green |
Editor's Note: The Small Print In this last month of the last year of the first decade of the 21st century, we're seeing plenty of legislation being written in Washington that will affect you and your clients. |
Investment Advisor
January 2010
Melanie Waddell |
Congress Reaches Year-End Goal A House-passed bill nixes FINRA's oversight of RIAs and a comprehensive financial services reform bill likely by the end of first quarter. |
Investment Advisor
January 2010
Melanie Waddell |
SEC Proposes Two-Year Stay on Rule 151A The Securities and Exchange Commission agrees to a two-year delay of the effective date of Rule 151A, which would require that equity indexed annuities be regulated as securities. |
Investment Advisor
January 2010
Robert F. Keane |
Catching Up With...Mike Durbin A short interview with the head of Fidelity Institutional Wealth Services. |
Investment Advisor
January 2010
James J. Green |
Numerology: Bright Future for Advisor M&A Activity M&A activity among RIA firms is poised for resurgence, as a new market environment emerges and the pool of potential buyers undergoes dramatic change. |
Investment Advisor
January 2010 |
GroupThink Financial Industries news: Investment Management Consultants Association releases 2009 membership profile... Social Investment Forum announces election of three new members... Four new members have been named to the Financial Planning Association's board of directors... |
Investment Advisor
January 2010 |
Changes Personnel moves and appointments in the financial services industry: F. William McNabb, III... Chris Biotti... Anne Gudefin... Charles Lahr... Alan Dumas... John Leeson... Chris Doucet... Richard Comeau... |
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