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Registered Rep.
July 1, 2004
Alan Plummer
The Cutting Edge Whether you pay a professional to handle these tasks for you, or you choose to do them yourself, creating a secure office is essential for any advisor. mark for My Articles similar articles
Financial Advisor
October 2009
David Lawrence
Making Yourself Heard Consider new approaches to communicate effectively with clients. 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
October 2010
David J. Drucker
Audit Ready This tool should make your SEC audit go more smoothly. mark for My Articles similar articles
Registered Rep.
February 1, 2013
Megan Leonhardt
Ten Tips That Could Prevent Cyber Criminals from Hijacking Client Data As tablet ownership continues to grow -- doubling since 2011 -- and more than half of U.S. consumers owning a smartphone, according to a 2013 Forrester Research report, advisors need to be more vigilant about data security now more than ever. mark for My Articles similar articles
Investment Advisor
July 2006
Thomas D. Giachetti, esq.
Expert's Corner: Passing Muster Is your electronic record keeping up to SEC snuff? Financial advisors should exercise discretion and diligence regarding electronic record retention and communication procedures. When in doubt, retain the hard copy original or make a phone call. mark for My Articles similar articles
Financial Advisor
September 2007
Joel Bruckenstein
File Trials Today's regulatory, legal and security environments demand a more robust document management solution and financial advisors who downplay these issues may find themselves doing so at their own risk. mark for My Articles similar articles
On Wall Street
May 1, 2013
Alan J. Foxman
When It's Okay to Share Clients Our legal expert discusses things to consider before making a referral to a nonaffiliated third party. mark for My Articles similar articles
On Wall Street
April 1, 2010
Alan J. Foxman
New Firm, Better Annuity, Client Still Not Happy Advisor Q&A: Client complains about annuity surrender charge... Terminated reps and identity theft... mark for My Articles similar articles
PC Magazine
August 22, 2008
Matthew D. Sarrel
Thwarting Identity Theft Identity theft has been a federal offense since 1998. But are we getting any better at dealing with it? Actually, we are. Here are several tips to prevent financial loss from identity theft. mark for My Articles similar articles
Financial Advisor
March 2012
Joel P. Bruckenstein
Secure Your Content SafeSync for Business provides a way to securely share and access your firm's data online. mark for My Articles similar articles
Financial Advisor
December 2010
David Lawrence
The Financial Plan Paradox Advisors try to help clients use their resources more efficiently, but often aren't efficient themselves. 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 Advisor
November 2005
Joel Bruckenstein
Securing Yourself And Clients Identity theft poses a serious threat for financial advisors and their clients. Here are steps to take to prevent identity theft and related security concerns. mark for My Articles similar articles
T.H.E. Journal
August 2004
Ozkan & Gunay
Minimizing Security Vulnerabilities in High-Tech Classrooms Emerging technologies are quickly becoming part of our daily learning and teaching endeavors in academia, however only a few students, faculty members and administrators are aware of the risks and vulnerabilities that exist in their network operating systems. mark for My Articles similar articles
Searcher
November 2005
Carol Ebbinghouse
Another Phine Kettle of Phish: Identity Theft Prevention Ten things to do today to protect yourself against identity theft. mark for My Articles similar articles
Financial Advisor
May 2009
David Lawrence
Worth The Investment The simple truth is that those advisors boasting an efficient document management system can bring their costs way down over time. mark for My Articles similar articles
Financial Planning
October 1, 2006
John E. Gebauer
Your Mailbox Is Full For investment advisors, the regulations for email retention remain murky, but applying some best practices can help. mark for My Articles similar articles
Investment Advisor
March 1, 2011
Lewis Schiff
Protect Affluent Clients' Data -- and Privacy One mistake can break the trust you've established with hundreds of clients. mark for My Articles similar articles
T.H.E. Journal
August 2001
Joyce Lambert
New Aspects of Test Security Have you ever considered the new ways in which your tests are vulnerable to unauthorized access if you store your test files on an office or home computer? mark for My Articles similar articles
InternetNews
March 9, 2005
Susan Kuchinskas
LexisNexis: Lookup For Crime Crooks accessed a LexisNexis subsidiary using misappropriated IDs and passwords to obtain approximately 32,000 names addresses, Social Security numbers and drivers' license numbers, which could be used for identity theft. mark for My Articles similar articles
Financial Advisor
April 1, 2010
Frontline News Advisor news: Is Your Client's Private Info Secure?... Hybrid Brokerages Shine Light On New Space... CFP Aspirants Need A Plan... Wanted: Silver Bullet For Retirement Income... more... mark for My Articles similar articles
PC Magazine
June 13, 2011
Eric Griffith
How To Hide Your Data Want to keep your private files under wraps without making it obvious they're important? Rather than encryption, try hiding them, so prying eyes don't even know they exist. mark for My Articles similar articles
RootPrompt.org
April 17, 2000
Lance Spitzner
Digital Certificates & Encryption Digital Certificates & Encryption - how they work and apply to Internet Commerce. mark for My Articles similar articles
Financial Planning
May 1, 2008
Elizabeth O'Brien
Regulatory Tussle Independent broker-dealers and the Securities and Exchange Commission have found themselves in a tug-of-war over how best to serve clients when registered representatives depart one firm for another. mark for My Articles similar articles
Popular Mechanics
October 20, 2008
John Brownlee
Keep Your Data Safe Online: Complete Guide to Online Privacy Though we can't promise that these tips will keep you 100 percent safe from hackers, they'll certainly make it a lot harder for interlopers to read your e-mail, fill your computer with spyware and track your Web-surfing habits. mark for My Articles similar articles
Wall Street & Technology
November 17, 2003
Jim Middlemiss
Under Attack Forget about locking the windows and the doors, financial-services firms now have far more to fear from worms, horses and bugs. mark for My Articles similar articles
Bank Systems & Technology
March 5, 2010
Penny Crosman
Most Banks Lack Key Data Privacy, Security Controls A Ponemon Institute study finds that while most financial services firms take some steps toward data security, many come up short in critical areas. mark for My Articles similar articles
Investment Advisor
August 2005
Thomas D. Giachetti
Come Right In Here are some issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners. mark for My Articles similar articles
Information Today
November 4, 2014
DataNumen Offers Free Password-Recovery Tool DataNumen, Inc. released a free Windows-based utility, DataNumen Outlook Password Recovery, which recovers passwords from encrypted Outlook files. 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
PC World
April 2004
Scott Spanbauer
Lock Down Your PC Hackers. Spammers. Even rogue coworkers and employees. How can you keep the bad guys out and the good data in? Safeguard your system's perimeter with these 29 beyond-the-basics security steps. mark for My Articles similar articles
Commercial Investment Real Estate
Sep/Oct 2010
Rich Rosfelder
Time to Share? Cloud-computing platforms, which provide Internet-based storage and services including secure file sharing and syncing, have become indispensable to professionals in many collaborative industries, including commercial real estate. mark for My Articles similar articles
Financial Planning
July 1, 2011
Donna Mitchell
Tweet Away It's been a struggle to get advisors to embrace social media because they don't fully recognize its business value. mark for My Articles similar articles
Bank Systems & Technology
March 29, 2006
Joanne VanAuken
The Top 10 Information Security Myths Here are 10 network security myths that bear further examination. mark for My Articles similar articles
Investment Advisor
June 1, 2011
Dan Skiles
Ten Easy--And Cheap--Tech Tips to Improve Efficiency From best practices to technical assistance, these tips can help advisors run their office more efficiently. 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
Thomas D. Giachetti
Keeping Political Contributions Compliant A new rule on political contributions by investment advisors may make donations dangerous. mark for My Articles similar articles
Investment Advisor
May 2006
Frank Troise
The IA Soapbox: Protect Yourself Here's how this financial adviser became a victim of identity theft, what individuals can do to protect themselves, and what financial advisers can do to help. mark for My Articles similar articles
PC Magazine
March 7, 2008
David Cardinal
Secure Your E-Mail and IM Communications Are you concerned that anyone can intercept and read your e-mail and instant messages? You should be. mark for My Articles similar articles
On Wall Street
March 1, 2010
Mark Astarita
Advisors Allowed To Get Social Some firms will continue to ban social media, while others will use the necessary software to allow it-just don't make a recommendation on one of the sites. mark for My Articles similar articles
On Wall Street
October 1, 2008
Walper & McBreen
Identity Thieves Target the Affluent Assure your clients that you're safeguarding their information. mark for My Articles similar articles
Investment Advisor
June 2008
Irace & Mehta
Security in a New Age How to protect your firm from 21st century online criminals mark for My Articles similar articles
Registered Rep.
April 1, 2008
Christina Mucciolo
The Eclipse of Paper The process of scanning documents and storing them using document-management software has finally taken hold of the mainstream in the brokerage industry. mark for My Articles similar articles
InternetNews
December 7, 2005
Roy Mark
Consumers Whistling Past the Security Graveyard Less than 20 percent of American home computers are adequately protected against viruses, spyware, hackers and other security threats. Nevertheless, an overwhelming majority of users believe they are safe from an attack. mark for My Articles similar articles
Investment Advisor
May 2007
Joni Youngwirth
Risk Management--for Yourself Think you've got a handle on risks to your financial advisory practice? Think again. 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
On Wall Street
July 1, 2013
Alan J. Foxman
Rebuilding Your Career After FINRA Sanctions Our legal expert discusses how to deal with FINRA investigation. mark for My Articles similar articles
Investment Advisor
October 2005
Melanie Waddell
The Playing Field: Welcome to the Family Becoming a wealth manager is not quite as easy as it looks. But the mid-tier millionaires are underserved, so honing skills and capturing some of them as clients should be on every financial adviser's list. mark for My Articles similar articles
Investment Advisor
April 2009
Mike Patton
Values Advisor The sixth in a series of first-person articles in which the author chronicles his own road to independence from employee advisor to fully independent RIA. mark for My Articles similar articles