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Investment Advisor March 1, 2011 Thomas D. Giachetti |
Get Form ADV Right New requirements and changing deadlines could make filing Form ADV a tricky business.  |
Registered Rep. March 1, 2008 |
Plain English: The Cost of Compliance The SEC voted in February to propose changes to the structure of the Form ADV, the disclosure document that all investment advisors must complete.  |
Investment Advisor November 17, 2010 Danielle Andrus |
Form ADV Changes Have Advisors Worried Newly created guides can allay confusion  |
Registered Rep. May 9, 2011 Gleeson & Britton |
New SEC Disclosure Rules Dismay Some Advisors; Advisor Disciplinary Histories in Welcome Packets New SEC rules that require federally-registered advisors to disclose their disciplinary histories in brochures and provide them to clients will get under way in earnest by the end of the summer.  |
Financial Planning February 1, 2008 Jeanne Lee |
Regulatory Roundup With regulatory agencies under political pressure to take a tougher stance on investor protections, financial advisors need to stay abreast of a number of proposed rule changes that could come online in 2008.  |
Investment Advisor July 2008 |
Group Think The CFP Board has filed a comment letter with the SEC welcoming the Commission's proposal to improve the quality of information that investment advisors must provide to clients and prospective clients.  |
Financial Planning April 1, 2008 Lisa Roth |
Straight Talk Given the SEC's proposal on a plain-English online Form ADV 2 disclosure brochure, now is the time for advisors to brush up on their language skills.  |
Financial Advisor January 2011 Joel P. Bruckenstein |
ADV Help This new Web-based platform helps RIAs easily update their regulatory reports. This form is the primary disclosure document that SEC-registered investment advisors are required to provide to clients.  |
Investment Advisor April 1, 2011 Thomas D. Giachetti |
Dodd-Frank: An Overview Of Pending Changes For Investment Advisors Dodd-Frank deadlines are fast approaching. Are you ready?  |
The Motley Fool November 15, 2010 Dan Caplinger |
Stop This Dumb Fee Once and for All 12b-1 fees are a relic of a dying breed of mutual funds.  |
Investment Advisor May 1, 2011 Melanie Waddell, AdvisorOne |
Fair Play: The Fight Over Rule 206(4)-5 Advisors are confused -- and angry -- over the SEC's new pay-to-play rule  |
On Wall Street June 1, 2012 Alan J. Foxman |
Keeping Client Secrets I have a husband and wife who are both clients of mine. Recently, the wife inherited some money and doesn't want her husband to know what she's doing with it.  |
Financial Advisor May 2011 Daniel Bernstein |
The Goldilocks Dilemma The greatest problem with client agreements today is the shortcut approach too many advisors take.  |
Financial Advisor May 2008 |
Frontline News Clients Ticked Off At Their Advisors... Surprising Conclusions About Client Loyalty... The Keys To A More Profitable 401(k) Practice... etc.  |
Investment Advisor August 2010 Melanie Waddell |
Advice to the SEC When it comes to the fiduciary standard, Capital Analysts President and CEO Matt Lynch says advisors "want to be sure the SEC seeks and gathers input from the industry as to how to implement these important changes."  |
On Wall Street April 1, 2011 Alan J. Foxman |
The Whole Truth Advisor Q&A: Disclosure of conflicts of interest... Clients testimonials as advertising... Advisor representatives and outside business activities... Form ADV on a CD... Qualifications needed on Form ADV...  |
Registered Rep. August 28, 2007 John Churchill |
SEC Principal Trade Proposal: A Stalling Tactic? A 2-year "interim rule" would allow large brokerage firms that also have many other business lines to meet their fiduciary obligations to customers while still engaging in principal trading activity -- selling customers products from their own inventory.  |
Registered Rep. February 18, 2004 John Churchill |
SEC Puts Forth Mutual Fund Rules Proposals The SEC has put forth three proposals that could drastically change the way mutual funds are sold.  |
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 May 2004 Alan Lavine |
Dramatic Changes Loom For Mutual Fund, Annuities Sales Proposed disclosure rules could hurt level-load sales.  |
Investment Advisor June 1, 2011 Thomas D. Giachetti |
From Deadlines to Lifelines The SEC extension of registration deadlines provides a potential grace period for stressed out advisors.  |
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.  |
Investment Advisor February 2007 Thomas D. Giachetti |
When Should You Register? Should an investment advisor with $30 million of "assets under management" register with the SEC? It depends on whether the advisor has "qualifying" assets under management.  |
Investment Advisor July 2010 Melanie Waddell |
A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.  |
Financial Advisor June 3, 2010 |
Frontline News Advisor news: Threshold Rising... Staying Healthy May Cost You In Retirement... SEC Looks To Update ADV Part II... IRS Sets Sights On The Very Wealthy... more...  |
Financial Planning March 1, 2013 Kenneth Corbin |
SEC Registration Deadline Looms As annual registration nears, compliance experts warn RIAs to be cautious about their numbers.  |
Investment Advisor November 2009 Melanie Waddell |
SEC Sets Out Strategic Plan The Securities and Exchange Commission publishes its Draft Strategic Plan outlining the Commission's strategic goals for 2010 through 2015.  |
Investment Advisor March 1, 2011 Melanie Waddell |
SEC Fiduciary Rule May Hit by Summer Despite the advisory industry's hopes that the Securities and Exchange Commission would get a quick start on writing a rule to put brokers under the same fiduciary standard as advisors, it looks as though a rulemaking could come by summer.  |
Financial Advisor March 2006 Nancy Lininger |
Letters to the Editor The New Advisory-World Order: Commissioned reps have lost clients over the years to discount brokers, day traders and now, the divine fee-only advisor. Firms embracing fees and commissions, and offering the most services and compensation options, will be reborn.  |
Financial Advisor October 2010 |
Frontline News New SEC requirements that financial advisors create a plain-English version of Form ADV Part 2... Fiduciary Standard Lobbying Season... Does Schwab's Purchase Of An RIA Portend A New Trend?... etc.  |
Financial Planning November 1, 2009 Robert Pozen |
Think Twice Congress is seriously debating legislation that would significantly expand the coverage of the Investment Advisers Act, empower the SEC to make rules on advisor compensation and increase the likelihood of lawsuits against advisors.  |
Financial Planning October 2, 2007 Jeff Auld |
Save 12b-1 Fees Independent reps and smaller clients will suffer if the SEC decides to cut this form of compensation.  |
Registered Rep. March 10, 2010 Jerry Gleeson |
New RIA Custody Rules In Force Friday New rules aimed at preventing registered investment advisors from pulling off ponzi schemes are now in effect.  |
Registered Rep. April 7, 2005 Kristen French |
NASD Advocates More Disclosure, Less Paper Broker/dealers and their reps may get a big break on point-of-sale disclosure if the Securities and Exchange Commission heeds recent NASD advice.  |
Investment Advisor May 1, 2011 Thomas D. Giachetti |
You Can't Regulate Crooks Unnecessary regulation annoys the good guys, and doesn't stop the bad guys  |
Financial Planning June 1, 2007 Kathy Gevlin |
Advisor Pulse The happiest financial advisors really do put their clients first, asserts the first study of advisor satisfaction.  |
Investment Advisor May 2010 David Tittsworth |
What a Reinvigorated SEC Will Mean for You The first in a series of occasional commentaries by the executive director of the Investment Adviser Association.  |
Investment Advisor September 2010 Thomas D. Giachetti |
The Compliance Coach: Will the SEC Ever Learn? Don't Count On It Get ready for new custody and ADV rules, and the $100 million threshold.  |
Registered Rep. February 23, 2007 Halah Touryalai |
Retail Hedge Fund Investors to the SEC: Buzz Off The SEC thinks it needs to do more to protect wealthy retail investors from the secretive world of hedge funds. But many wealthy investors say they can take care of themselves.  |
Registered Rep. April 1, 2007 |
Turf Wars Over Advice The age-old debate between the b/d and investment advisor (RIA) industries over who should be able to provide advice and when, and whose regulatory regime offers better investor protections, is far from over.  |
Financial Advisor July 2006 Mark Goldberg |
Seat Belt Or Life Raft? Arbitration can be a traumatizing experience for financial advisors. In most instances, there is a genuine misunderstanding. Are we willing to ask ourselves if we did a good job communicating?  |
On Wall Street February 1, 2013 Kenneth Corbin |
Regulatory Forecast Bodes Change Advisors could see talks on oversight and a fiduciary standard move forward this year.  |
Registered Rep. February 1, 2005 John Churchill |
A Monster Issue Will the SEC withdraw the Broker-Dealer Exemption, causing reps to back away from adviser status? If so, the impact could cause substantial disruption in the markets.  |
Investment Advisor February 2008 Melanie Waddell |
A Busy Year in Washington Now that the Rand report assessing the advisory and broker/dealer industries has been released, No doubt advisors and brokers will be anticipating any possible regulatory actions that the SEC may take.  |
The Motley Fool February 23, 2004 Selena Maranjian |
Tell the SEC What You Think Help the Securities and Exchange Commission disclose Wall Street's conflicts of interest by giving feedback on their proposed rule changes for mutual funds.  |
Financial Advisor April 2004 Tracey Longo |
Wanted: Real Disclosure Rules on brokers compensation disclosure are changing---but slowly.  |
The Motley Fool October 15, 2010 Bill Barker |
Why We Oppose 12b-1 Fees This little sales charge doesn't benefit existing shareholders, is insufficiently transparent, and the SEC has a new proposal to limit that fee.  |
Financial Planning September 1, 2008 Blaine Aikin |
New Disclosure Regimen Planners are facing considerable competition from brokers in the arena of retirement plans, and the reality that brokers typically don't work as fiduciaries is a thorn in planners' sides.  |
Financial Advisor October 2012 Brian Hamburger |
Sleight Of Hand The apparent death knell of Finra as an SRO by no means signals victory.  |
Registered Rep. September 16, 2011 Jerry Gleeson |
RIA Interest in Financial Planning Grows, Industry Data Suggests Financial planning activities are playing a growing role in the service offerings of registered investment advisors.  |