MagPortal.com   Clustify - document clustering
 Home  |  Newsletter  |  My Articles  |  My Account  |  Help 
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. 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
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. 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
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.
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. 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
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. mark for My Articles similar articles
Financial Planning
September 1, 2006
David Spinar
Even the Playing Field Congress needs to standardize the regulations for investment advisors and broker-dealers. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. 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
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. mark for My Articles similar articles
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. 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
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. 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
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. 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
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. 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
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
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. mark for My Articles similar articles
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. 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
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. mark for My Articles similar articles
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. 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
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.
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. 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
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
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 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. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Advisor
September 2012
Jeff Schlegel
Not Making The Grade Financial advisors aren't as fiduciary as they should be, a new survey finds. mark for My Articles similar articles
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. mark for My Articles similar articles
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. 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
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. mark for My Articles similar articles
Investment Advisor
June 2008
Kathleen M. McBride
Independents' Optimism Broker/dealer advisory board members say things are looking up in the industry. mark for My Articles similar articles