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Financial Advisor
June 2005
Raymond Fazzi
Regulatory Challenges Top Broker-Dealer Agenda Rarely has the potential of the financial advisory business, with a huge demographic wave of baby boomers approaching retirement, looked brighter. But never has the regulatory climate been more challenging. mark for My Articles similar articles
Financial Advisor
June 2004
Tracey Longo
Compliance Overload A white-hot regulatory agenda is bedeviling independent broker-dealers in the U.S. mark for My Articles similar articles
Registered Rep.
July 1, 2004
David A. Gaffen
The Great Compliance Witch Hunt! Many clean brokers jump firms, only to discover their old broker/dealer besmirched their U4s. In a business where client realtionships are at stake, things can get ugly very quickly. mark for My Articles similar articles
Financial Advisor
June 2006
Tracey Longo
Is Any Stone Unturned? Is the NASD's regulatory clampdown over? Major changes are in place at the sales force level. mark for My Articles similar articles
Financial Advisor
September 2005
Bruce W. Fraser
How To Survive The SEC Assault Advisors cite a new, more demanding compliance environment. Despite the extra financial and time burden, many advisors feel much better about their businesses, having gone through the compliance process. mark for My Articles similar articles
Registered Rep.
November 1, 2005
Christopher O'Leary
A Crusade Against Indies? Regardless of whether going independent means a more regulatory scrutiny or not, advisors thinking of going out on their own need to understand just how much work such a move will entail in terms of keeping up with the ever-changing world of regulations. mark for My Articles similar articles
Wall Street & Technology
March 1, 2004
Getting Management on Board With Compliance Compliance and litigation readiness have blasted up the priority list of top management. Leading financial institutions have appointed general counsel into top management roles. Boards of directors are reviewing and approving technology solutions. mark for My Articles similar articles
Financial Advisor
April 2004
Tracey Longo
Wanted: Real Disclosure Rules on brokers compensation disclosure are changing---but slowly. mark for My Articles similar articles
Investment Advisor
April 2007
Kara P. Stapleton
A Compliance Culture Recent NASD actions have led to increased compliance efforts on the part of many independent broker-dealers. mark for My Articles similar articles
Financial Planning
June 1, 2007
Donald Jay Korn
FP50: Pressure Points It's a great time to be in financial services. But broker-dealers' challenges are growing as fast as their opportunities. mark for My Articles similar articles
Registered Rep.
March 2, 2006
John Churchill
NASD Promotes Its Online Education Program Called the E-learning Exchange, the NASD created the online education tool for reps and firms last May in order to help securities firms head off compliance and regulatory problems before they start. mark for My Articles similar articles
Financial Planning
September 1, 2006
Jane Worthington
Accounting for Compliance Instead of viewing compliance as a necessary evil, financial advisors should see it as a cost of doing business and learn how to quantify that cost. mark for My Articles similar articles
Financial Planning
May 1, 2012
Jennifer Woods Burke
Gotcha! Audits Get Tougher This year, the SEC and FINRA launched a webinar for firms detailing their expectations and reaffirming that whether a firm is large or small, regulators expect the same level of diligence when it comes to audits. mark for My Articles similar articles
Registered Rep.
September 1, 2004
Anne Field
The Weight of Words It's a paradox confronting brokers all over the country: In a business climate that calls for ever-increasing advisor-client intimacy, financial professionals are measuring their words more carefully than ever. mark for My Articles similar articles
Financial Advisor
November 2010
David Lawrence
Back In The Fold? Will the new regulations force independents to return to broker-dealers? mark for My Articles similar articles
Financial Advisor
March 2011
Jeff Schlegel
Is Uniformity Possible? Broker-dealers expect some changes if a new fiduciary standard is adopted. mark for My Articles similar articles
Registered Rep.
November 1, 2006
Susan Konig
A Big Trade Off? For advisors looking for further independence through a registered investment advisory firm, compliance burdens can increase. Reps working under an independent b/d's umbrella RIA, also known as "dually registered" advisors, must comply with both NASD and SEC rules. mark for My Articles similar articles
Investment Advisor
October 2010
Melanie Waddell
Dissecting the FSI's Position on Fiduciary As a new study finds investors still confused, Financial Services Institute president Dale Brown presents the independent broker/dealer perspective. mark for My Articles similar articles
Wall Street & Technology
November 26, 2007
Melanie Rodier
Streamlining Global Compliance Globalization continues to be a trend, and financial companies are finding they can't manage current global compliance requirements efficiently. mark for My Articles similar articles
Wall Street & Technology
January 6, 2006
Ivy Schmerken
Everything's Coming Up Hybrid Will a joint NYSE - NASD regulator result in the $100 million-a-year savings that the NASD is proposing in the hybrid regulation of dual member firms? mark for My Articles similar articles
Financial Advisor
March 2005
Tracey Longo
The Watchdog Inside Your Firm The SEC is making your chief compliance officer a whistleblower. Advisors' success with regulators in 2005 will depend largely on whether they trip themselves up or are able to create a business model that is better aligned with their clients. mark for My Articles similar articles
Financial Advisor
November 2012
Karen DeMasters
DOL Fiduciary Regulations May Be Revived U.S. Department of Labor regulations that would extend the fiduciary standard to a larger group of people advising on retirement plans are on hold for now, but they may not be dead, according to those following the fate of the proposals. mark for My Articles similar articles
Bank Director
2nd Quarter 2010
Jack Milligan
Knee Deep in Regulation As part of the fallout from the latest financial crisis, bankers are wading through new layers of regulation while scanning for clearer skies ahead. mark for My Articles similar articles
Financial Planning
September 1, 2007
Bob Veres
The Dual Reality The FSI and independent broker-dealer community have become pivotal voices in the profession. What they see in the future might surprise you. mark for My Articles similar articles
Wall Street & Technology
March 21, 2006
Cory Levine
Education in Regulation In partnership with the NASD, the U.K.'s University of Reading will offer what is believed to be a first-of-its-kind Master's in Capital Markets, Regulation and Compliance from the University's business school. mark for My Articles similar articles
Wall Street & Technology
August 27, 2004
Jessica Pallay
Building the Right Team With no sign of waning regulations, compliance officers remain essential to the architecture of the securities industry. mark for My Articles similar articles
Financial Planning
June 1, 2007
Marshall Eckblad
FP50: Behind the Numbers Revenues among the top 50 broker-dealers soared, costs fell and reps took home more money than ever. But the biggest winners in this year's survey were fee-based products. mark for My Articles similar articles
Registered Rep.
January 1, 2005
David A. Gaffen
Third Time Is a Harm A NASD proposal first announced in 2003 requires that reps with three or more formal complaints against them receive extra supervision from their firms. Most major broker/dealers are already operating as if the rule were in place. mark for My Articles similar articles
Investment Advisor
June 2007
Kathleen M. McBride
Interesting Times Independent broker/dealers find opportunity in the face of changing winds. mark for My Articles similar articles
Wall Street & Technology
November 21, 2006
Cory Levine
Inefficient Efforts: Firms Look to Break Down Their Isolated Compliance Processes Industry solution providers are coming up with new ways to unify compliance efforts across the organization, bringing efficiencies and benefits to the business from widely maligned regulatory mandates. mark for My Articles similar articles
Financial Planning
June 1, 2007
Marshall Eckblad
The United Way The FPA's unexpected victory could pave the way to new regulations that cover both brokers and investment advisors. mark for My Articles similar articles
Wall Street & Technology
November 17, 2003
Ivy Schmerken
Holistic Compliance With a torrent of regulations raining down on them, Wall Street firms are wise to think about developing a global-compliance architecture. But can the chief compliance officer sell the project to senior management? mark for My Articles similar articles
Financial Advisor
April 2004
David J. Drucker
Living With The Rules How to keep the SEC happy without going out of business. mark for My Articles similar articles
Financial Planning
October 1, 2010
Brian Hamburger
Regulation Season A look forward at the real effects of regulatory change - and they could be as unattractive as they are expensive. mark for My Articles similar articles
Financial Advisor
January 2006
Tracey Longo
Working Smarter, Not Harder As more independent broker-dealers set themselves up as strategic outsourcing partners, they are finding bigger and better firms driven to their door by stagnant or shrinking profit margins and the accelerating compliance melee. mark for My Articles similar articles
Registered Rep.
February 1, 2006
Kristen French
Both Sides Now Brokers who hold dual licenses -- both the Series 7 and Series 65 licenses -- will have to take fiduciary responsibility on some accounts. But they can also sell investments, after they make it crystal clear that they're doing so. mark for My Articles similar articles
Wall Street & Technology
July 27, 2004
Jessica Pallay
Analyzing AML Audits After years of preparation, regulators are ready to see the fruits of Wall Street's hard work on anti-money laundering. mark for My Articles similar articles
Financial Planning
June 1, 2007
Marshall Eckblad
4 Questions Mary Schapiro is chairman and CEO of the NASD, which is set to merge later this year with the New York Stock Exchange. Here, she spoke about the new organization that she has been appointed to lead. mark for My Articles similar articles
Investment Advisor
February 2008
Papa & Marks
The New Paradigm Integrating operations and compliance. mark for My Articles similar articles
Investment Advisor
October 2008
Bob Clark
The Real Deal MarketCounsel is focused on taking the independent advisory model to the next level. mark for My Articles similar articles
Financial Planning
June 1, 2009
Paul Menchaca
Oh, the Drama The broker-dealers who spoke to Financial Planning in this year's annual survey are busy negotiating the downturn by improving their infrastructure, expanding through recruitment and eyeing an economic rebound. mark for My Articles similar articles
Investment Advisor
May 1, 2011
Bob Clark
The Polar Bears Thawing out our modern black and white thinking could save the fiduciary standard. I don't usually write about politics, except when it has a direct impact on financial advice, and this appears to be one of those times. mark for My Articles similar articles
Wall Street & Technology
September 23, 2005
Ivy Schmerken
Securities Police Go High-Tech NYSE Regulation's technology push may be the best-kept secret on Wall Street. Over the past few years, the self-regulatory organization has been expanding and improving its intranet-based capabilities to make information and analytical tools electronically available to examiners. mark for My Articles similar articles
Financial Planning
June 1, 2006
Joan Warner
FP50: Where the Growth Is With their market share growing 20% a year and the boomer generation's accumulated treasure to deploy, independent broker-dealers are on a prosperous path. mark for My Articles similar articles
Wall Street & Technology
November 18, 2005
Maria Wakem
E-Mail Contention While most financial services firms are now compliant with SEC e-mail retention rules, the problem of selecting the best technology for the job still persists and is largely due to confusion among compliance and IT departments regarding what needs to be accomplished. mark for My Articles similar articles
Financial Advisor
November 2009
Jeff Schlegel
The Great Debate Financial services reform is coming. How will it impact advisors? mark for My Articles similar articles
Financial Advisor
July 2011
Andrew Gluck
Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance. mark for My Articles similar articles
Registered Rep.
November 1, 2006
Halah Touryalai
The Indie Man An interview with John Simmers, CEO of ING Advisors Network, about his multiple duties, including issues facing his firm and others like it, as well as recent attacks on the NASD's credibility as a voice for small firms. mark for My Articles similar articles
CFO
February 1, 2005
Ronald Fink
Finders Keepers The SEC is hearing new demands to make it easier for small companies to raise capital. mark for My Articles similar articles
Registered Rep.
February 1, 2005
Pam Black
Why More Reps Are Getting Their Kicks on Route 66 What's driving top reps to Series 66 RIA designation is not regulatory rules. It's changes in the wirehouse environment that, newly minted RIAs say, made it harder for them to do their own thing. mark for My Articles similar articles