| Similar Articles |
 |
Investment Advisor April 2008 Kathleen M. McBride |
SEC: "We hear you" The Securities and Exchange Commission has proposed an amendment that may make taking customers to a new firm easier on reps and B/D executives.  |
Registered Rep. June 17, 2009 Christina Mucciolo |
The Fiduciary Battle Continues, Now Under Federal Microscope Among other measures, the Obama administration proposed today that the Securities and Exchange Commission require that broker-dealers offering investment advice be held to the fiduciary standard rather than the suitability standard.  |
Registered Rep. April 1, 2008 Halah Touryalai |
Clients in Your Pockets Playing hopscotch from one firm to another, without losing all of your clients, may soon get a little easier. That is, if the SEC's proposed amendment to privacy policy rules, also known as Regulation S-P, is approved.  |
Financial Advisor July 2011 Andrew Gluck |
Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance.  |
Investment Advisor September 2008 Elizabeth D. Festa |
What's NEXT for Reg S-P? A recent ruling against NEXT Financial Group, Inc. creates a minefield of legal issues for financial advisors.  |
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.  |
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. September 18, 2007 |
Cease and Desist Order Looms for NEXT Financial Group The Securities Exchange Commission issued an Order Instituting Cease-and-Desist Proceedings against the independent broker/dealer late last month.  |
Financial Advisor November 2009 Jeff Schlegel |
The Great Debate Financial services reform is coming. How will it impact advisors?  |
Registered Rep. August 19, 2009 Christina Mucciolo |
Haggling Over The F Word Continues Regulators, consumer advocates and politicians continue to hammer out what it might mean for Series 65 investment advisors and series 7 registered reps to adhere to the new fiduciary standard.  |
Financial Planning September 1, 2006 David Spinar |
Even the Playing Field Congress needs to standardize the regulations for investment advisors and broker-dealers.  |
Financial Advisor November 2011 Evan Simonoff |
What Gives At The SEC? For several decades, the Securities and Exchange Commission has contended that it does not have sufficient resources to examine and inspect RIAs. Consequently, many have concluded that Finra is the default option for all RIA regulation.  |
Financial Planning March 1, 2011 Donald B. Trone |
All for One... A uniform fiduciary standard of conduct, coupled with harmonized regulations, should dramatically improve the process for investors.  |
Financial Planning March 1, 2011 Larry Light |
The Tradeoff Registered investment advisors may end up getting to know a new regulator, but the tougher fiduciary standard they live under will also be extended to cover their broker-dealer rivals.  |
Financial Advisor May 2011 Andrew Gluck |
Finra Makes Its Move Who regulates financial advisors may shift. Here's a look at the positions various groups are taking on fiduciary standards.  |
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.  |
Investment Advisor May 2008 Melanie Waddell |
Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers.  |
Investment Advisor January 1, 2011 Melanie Waddell |
FINRA Jockeys for SRO Spot as SEC Report to Congress Nears The Financial Industry Regulatory Authority is engaged in a full-court press to convince the SEC that it should be the SRO for advisors.  |
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?  |
Financial Planning February 1, 2012 John F. Wasik |
State of Regulation As states take over regulation of RIAs with up to $100 million in assets under management, many firm owners are wondering if the transition will prove difficult.  |
Registered Rep. June 30, 2010 Christina Mucciolo |
Clients, though Mostly Satisfied, in the Dark about FA Fees, Says Study Overall advisors and investors are still confused about what the advisors' fiduciary responsibility is exactly.  |
Financial Planning December 1, 2010 Donna Mitchell |
Turning on the Charm Next month the SEC reports to Congress on its recommendations for enhancing examinations for investment advisors. FINRA, meanwhile, is trying to persuade movers and shakers on the Hill that it already has the answers.  |
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.  |
Financial Planning July 1, 2010 Jeanne Lee |
Reform Lite The 1,600-page financial reform bill passed by the Senate in May still doesn't do enough to enhance consumer protections for individual investors, some industry observers say.  |
Registered Rep. April 29, 2005 John Churchill |
FPA Sues to Stop Broker-Dealer Exemption The Financial Planning Association believes that the SEC rule which allows registered reps to call themselves financial advisors is contrary to law and encourages broker-dealers to engage in self-dealing with their clients without disclosing their conflicts of interest.  |
Investment Advisor May 2008 McBride & Waddell |
Seismic Shift The Treasury Secretary floats a regulatory plan that -- if implemented -- will change the financial services world as we know it.  |
Investment Advisor February 2009 Melanie Waddell |
Is Mary What the SEC Needs? The alternative to FINRA overseeing advisors, and what advisors would definitely prefer, is a self-regulatory organization.  |
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.  |
Financial Planning April 1, 2010 Brian Hamburger |
Full Disclosure Protecting client privacy is one of the most important responsibilities of any financial advisor. And it's about to become one of the most time-consuming and highly regulated aspects of the business as well.  |
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.  |
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.  |
Financial Planning June 1, 2011 Donna Mitchell |
A Bigger Stick The CFP Board of Standards says part of its mission is to serve the public by upholding high standards of conduct. But some planners are questioning the group's motives after it recently gained access to many Americans' private financial information.  |
Financial Advisor August 2012 Karen DeMasters |
The Great Migration Though they aren't moving as fast as they were a few years ago, advisors are still in play for independent broker-dealers.  |
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.  |
Registered Rep. October 8, 2004 John Churchill |
Are Reps Advisors or Mere Brokers? The CFA sent a comment letter to SEC Chairman Donaldson, suggesting the nature of the services, not the compensation model, is what is important. And the current exemption misses this point.  |
Registered Rep. August 1, 2006 |
The Broker-Dealer Exemption: Good or Bad for the Investing Public? (Oy, This Still Hasn't Been Resolved?) True financial advisors -- those who hold Series 65s and Series 66s, and who are fiduciaries -- aren't too happy that Series 7-holders have been able to cast themselves as financial advisors.  |
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 October 2012 Brian Hamburger |
Sleight Of Hand The apparent death knell of Finra as an SRO by no means signals victory.  |
Registered Rep. July 30, 2007 Halah Touryalai |
FINRA Sticks as SEC Approves Regulator Consolidation After some minor bumps along the way, the NASD and NYSE merger is official.  |
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.  |
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.  |
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 Planning November 1, 2010 Trone & Harvey |
The New Rules of the Road The following four regulatory reforms will likely have the most impact on the financial services industry over the next 24 months. Here's a short synopsis of what they will require.  |
Registered Rep. October 13, 2010 Charles Paikert |
SEC Family Office Ruling Set to Open Doors for RIAs to Gather Assets RIAs can benefit from family offices' inclination to gravitate to smaller, boutique firms, as opposed to working with impersonal financial behemoths.  |
Financial Advisor September 2012 Jeff Schlegel |
Not Making The Grade Financial advisors aren't as fiduciary as they should be, a new survey finds.  |
Registered Rep. April 28, 2005 John Churchill |
NASD Sends Older Reps Back to the Classroom All registered reps are required to complete the regulatory sections of the NASD's continuing education curriculum. According to the Securities Industry/Regulatory Council on Continuing Education, there are currently 109,000 exempted reps that will now have to take the test.  |
On Wall Street July 1, 2009 Helen Kearney |
The 'F' Word Stirs Up Controversy Advisors who fall under the new fiduciary standard, namely investment advisors who run a fee-based business, must always put clients' interests before of their own.  |
Financial Advisor November 2010 David Lawrence |
Back In The Fold? Will the new regulations force independents to return to broker-dealers?  |
Investment Advisor August 2010 Melanie Waddell |
Will the States Be Able to Regulate Big RIAs? State regulators and the Securities and Exchange Commission (SEC) will meet soon to iron out the details of shifting nearly 4,000 advisors from federal to state supervision.  |
Investment Advisor June 2008 Kathleen M. McBride |
Independents' Optimism Broker/dealer advisory board members say things are looking up in the industry.  |