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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
Investment Advisor
January 2006
Melanie Waddell
The Playing Field: SEC Inspectors Unit Under Fire After repeated complaints from broker/dealers, mutual funds, and investment advisors about the SEC's new sweeps examination process, Congress is threatening to abolish the SEC's Office of Inspections and Examinations (OCIE). mark for My Articles similar articles
Investment Advisor
October 2009
Melanie Waddell
SEC Criticized for Madoff Congress chides the SEC for the scathing inspector general report on Bernie Madoff. mark for My Articles similar articles
Investment Advisor
April 1, 2011
Ron Rhoades
An Alternative to FINRA Oversight "I expect FINRA and its allies to continue to push to extend its jurisdiction to some or all investment advisors," says Investment Adviser Association Executive Director David Tittsworth. mark for My Articles similar articles
Investment Advisor
March 2009
Melanie Waddell
Reform Is on the Way SEC Chairwoman Mary Schapiro is laying the groundwork for a significantly beefed up enforcement division at the Commission. 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
Registered Rep.
February 13, 2012
Kristen French
Due Diligence: Obama Budget Showers SEC with Money, SRO Debate Still Strong According to the SEC's budget request, the regulator would use a chunk of that to fatten up its exam program, adding over 200 examiners. mark for My Articles similar articles
Investment Advisor
May 2009
Melanie Waddell
Danger & Opportunity: The SEC Reformation An exclusive interview with SEC chief Mary Schapiro regarding financial services reforms. mark for My Articles similar articles
Registered Rep.
May 15, 2009
Kristen French
SEC Proposes Anti-Ponzi Rules. Do They Fall Short? Surprise exams and reviews by third party accountants: These are the new measures the SEC proposed to combat ponzi schemes like the one Bernie Madoff pulled off. 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.
March 11, 2009
Halah Touryalai
Extreme Makeover: SEC With or without an increased budget, the SEC wants to make up for its shortcomings. mark for My Articles similar articles
Financial Planning
June 1, 2010
Brian Hamburger
Going for Custody As of March 12, new rules for RIAs require special (and expensive) reports and audits for custodial accounts. Are you ready? mark for My Articles similar articles
Investment Advisor
March 2010
James J. Green
B/D News Bulletins and news of interest to broker/dealers from FINRA and the SEC. 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
Financial Advisor
January 2004
Jay Gould
Washed Up On The Banks Of Denial The SEC has changed its policies regarding anti-fraud consent injunctions. How should investment advisors react? mark for My Articles similar articles
Investment Advisor
August 2006
Melanie Waddell
The Playing Field: Will the SEC Appeal? Hedge fund advisor registration has been an extremely contentious issue. Some feel there will be grave consequences for the SEC and the investing public should the House bill requiring registration be shot down. mark for My Articles similar articles
Investment Advisor
March 2009
James J. Green
News: SEC's Top Cop Linda Chatman Thomsen, the director of the SEC's Division of Enforcement, said February 9 that she would leave the Commission and return to the private sector. mark for My Articles similar articles
Investment Advisor
April 2006
Elizabeth Festa
A Less Scary SEC? SEC Commissioner Atkins promises more restraint in dealing with financial advisors. mark for My Articles similar articles
Investment Advisor
May 2007
Group Think The AML Source Tool helps broker/dealers comply with legal and regulatory requirements relating to anti-money laundering... The FPA has a new partner... The American Library Association and the NASD Investor Education Foundation are... etc. mark for My Articles similar articles
Investment Advisor
April 2009
Melanie Waddell
All About Enforcement It's seems a daily occurrence now that the Securities and Exchange Commission levies an enforcement action against a financial services firm mark for My Articles similar articles
Investment Advisor
August 2006
Joseph & Barreto
Hedgeworld Hedge Fund Focus: Regulatory Limbo for Hedge Funds Experts say hedge fund advisors who registered with the Securities and Exchange Commission in response to the now-shelved hedge fund rule aren't likely to see examiners on their doorstep anytime soon. mark for My Articles similar articles
Wall Street & Technology
June 29, 2005
Maria Santos
Thomsen Replaces Cutler at SEC Enforcement Head The SEC named Linda Chatman Thomsen director of the division of enforcement. Thomsen joined the SEC in 1995 and has served as the enforcement division's deputy director since 2002. mark for My Articles similar articles
Investment Advisor
October 2007
Melanie Waddell
Helping the Most Vulnerable Retirees Lawmakers, the Securities and Exchange Commission, and state regulators are bent on making sure advisors with designations touting expertise when it comes to helping seniors, the most vulnerable retirees, are closely scrutinized. mark for My Articles similar articles
Investment Advisor
June 1, 2011
Melanie Waddell
Schapiro Says SEC to Focus in July on Fiduciary, 12b-1 The Commission will look at fund regulation "in tandem" with RIA/BD reform. mark for My Articles similar articles
On Wall Street
April 1, 2013
Kenneth Corbin
SEC Zeros In on Potential Conflicts of Interest The regulator's staff will investigate nondisclosures, misrepresentations, and more. mark for My Articles similar articles
On Wall Street
November 1, 2009
Marcia Kramer Mayer Marcia Kramer Mayer of NERA Consulting speaks about how the SEC should look to the example set by the IRS, which uses computerized searches to identify investment fraud problems. 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
The Motley Fool
November 14, 2011
John Reeves
Wrist Slaps All Around at the SEC The SEC disciplines its employees who were involved in the Madoff case. mark for My Articles similar articles
Financial Planning
August 1, 2009
Ken Fisher
SEC Calling If you haven't violated any securities laws or otherwise abused client trust, you have nothing to fear. mark for My Articles similar articles
Investment Advisor
January 2007
Melanie Waddell
Getting Compliance Help Now If you're one of those financial advisory firms that's still dithering on the sidelines hoping that your compliance program is up to snuff, it's time to get serious. A good place to turn for help is the Regulatory Compliance Association's new CCO University. mark for My Articles similar articles
Investment Advisor
September 2009
Melanie Waddell
SEC Bulks Up Enforcement The Securities and Exchange Commission is moving at a rapid pace to repair its sullied reputation after being lambasted by Congress for failing to stop the Bernie Madoff Ponzi scheme. mark for My Articles similar articles
Registered Rep.
June 29, 2010
Halah Touryalai
The New Sheriffs In Town The SEC examines about 9 percent of the 11,000 or so advisory firms under its jurisdiction annually. All of that is about to change with a little help from regulators at the state level. mark for My Articles similar articles
Registered Rep.
June 22, 2009
David A. Geracioti
Madoff Had Help Running His Fraud, Says SEC The SEC today indicted four individuals for helping Bernie Madoff in his colossal Ponzi scheme. One of the individuals was a registered rep and a second was an investment advisor. 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
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
Registered Rep.
April 27, 2011
Kristen French
CIMA Aims High: Seeks to Replace Series 7, 65 As Industry Standard The Investment Management Consultants Association announced Wednesday that its popular CIMA certification is now accredited by the American National Standards Institute, making it the first of the major wealth management designations to meet international ISO standards. mark for My Articles similar articles
Investment Advisor
May 2010
James J. Green
Simple, Not Simplistic Tom Giachetti preaches a simple approach to compliance for advisors: Know what you need to do, but also what you don't need to do. mark for My Articles similar articles
Investment Advisor
September 2008
Melanie Waddell
Turf Wars A conversation with former SEC Commissioner Roel Campos about the Treasury's Blueprint for financial services reform. mark for My Articles similar articles
Financial Advisor
February 2012
IMCA Boosts 2011 Membership The Investment Management Consultants Association's stepped-up efforts to attract new members paid dividends in 2011, with overall membership up 7% for the year. mark for My Articles similar articles
Registered Rep.
February 1, 2006
Legislative Attack on the SEC Congressional representatives introduced a bill that would abolish the arm of the SEC that conducts sweeps. mark for My Articles similar articles
Registered Rep.
January 19, 2011
Kristen French
In Dodd-Frank Report, SEC Champions User Fees Over SRO The study and report were meant to address a trifecta of problems: a history of weak oversight of investment advisers, current shortfalls in SEC funding and the regulator's rapidly expanding responsibilities under Dodd-Frank. mark for My Articles similar articles
Registered Rep.
December 2, 2004
John Churchill
SEC Overburdening Itself? The SEC narrowly succeeded in passing a final rule requiring hedge fund advisors to register under the Investment Adviser Act of 1940. But is the agency biting off more than it can chew? 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
Financial Planning
October 1, 2006
William Cavell
Compliance Tips Tips for Before and During an SEC Exam mark for My Articles similar articles
Investment Advisor
April 2008
Elizabeth D. Festa
FINRA and SEC Look to Build Bridges Seminars for chief compliance officers includes recommendations for keeping the lines of communication open between broker firms, the Financial Industry Regulatory Authority, and the Securities and Exchange Commission. mark for My Articles similar articles
Registered Rep.
January 11, 2011
Kristen French
Expect SRO For Advisers, Fiduciary Fix For Brokers Compliance consultants, securities lawyers and lobbyists overwhelmingly agree that the SEC will recommend both. 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
Financial Advisor
July 2009
Sherri Scordo
Compliance Concerns There's a lot of buzz these days about potential changes in compliance rules and the impact on advisors. mark for My Articles similar articles
Registered Rep.
March 1, 2007
The Upstarts There are some upstart custody/clearing firms who are winning business from the behemoths. mark for My Articles similar articles
Investment Advisor
July 1, 2011
Thomas D. Giachetti
Are You Prepared for a Regulatory Exam? Learn the steps you need to take to prepare for a regulatory exam. mark for My Articles similar articles