| Similar Articles |
 |
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.  |
Financial Advisor June 2004 Tracey Longo |
Compliance Overload A white-hot regulatory agenda is bedeviling independent broker-dealers in the U.S.  |
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.  |
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.  |
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.  |
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.  |
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.  |
Financial Advisor April 2004 Tracey Longo |
Wanted: Real Disclosure Rules on brokers compensation disclosure are changing---but slowly.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
Financial Advisor November 2010 David Lawrence |
Back In The Fold? Will the new regulations force independents to return to broker-dealers?  |
Financial Advisor March 2011 Jeff Schlegel |
Is Uniformity Possible? Broker-dealers expect some changes if a new fiduciary standard is adopted.  |
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.  |
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.  |
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.  |
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?  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
Investment Advisor June 2007 Kathleen M. McBride |
Interesting Times Independent broker/dealers find opportunity in the face of changing winds.  |
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.  |
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.  |
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?  |
Financial Advisor April 2004 David J. Drucker |
Living With The Rules How to keep the SEC happy without going out of business.  |
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.  |
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.  |
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.  |
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.  |
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.  |
Investment Advisor February 2008 Papa & Marks |
The New Paradigm Integrating operations and compliance.  |
Investment Advisor October 2008 Bob Clark |
The Real Deal MarketCounsel is focused on taking the independent advisory model to the next level.  |
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.  |
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.  |
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.  |
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.  |
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.  |
Financial Advisor November 2009 Jeff Schlegel |
The Great Debate Financial services reform is coming. How will it impact advisors?  |
Financial Advisor July 2011 Andrew Gluck |
Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance.  |
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.  |
CFO February 1, 2005 Ronald Fink |
Finders Keepers The SEC is hearing new demands to make it easier for small companies to raise capital.  |
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.  |