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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. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
November 17, 2010
Danielle Andrus
Form ADV Changes Have Advisors Worried Newly created guides can allay confusion mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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? mark for My Articles similar articles
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. mark for My Articles similar articles
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 mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Advisor
May 2011
Daniel Bernstein
The Goldilocks Dilemma The greatest problem with client agreements today is the shortcut approach too many advisors take. mark for My Articles similar articles
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. mark for My Articles similar articles
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." mark for My Articles similar articles
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... mark for My Articles similar articles
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. mark for My Articles similar articles
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. 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
May 2004
Alan Lavine
Dramatic Changes Loom For Mutual Fund, Annuities Sales Proposed disclosure rules could hurt level-load sales. mark for My Articles similar articles
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. 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
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. mark for My Articles similar articles
Investment Advisor
July 2010
Melanie Waddell
A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward. mark for My Articles similar articles
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... mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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 mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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? mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. 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
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Advisor
October 2012
Brian Hamburger
Sleight Of Hand The apparent death knell of Finra as an SRO by no means signals victory. mark for My Articles similar articles
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. mark for My Articles similar articles