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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.  |
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).  |
Investment Advisor October 2009 Melanie Waddell |
SEC Criticized for Madoff Congress chides the SEC for the scathing inspector general report on Bernie Madoff.  |
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.  |
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.  |
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.  |
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.  |
Investment Advisor May 2009 Melanie Waddell |
Danger & Opportunity: The SEC Reformation An exclusive interview with SEC chief Mary Schapiro regarding financial services reforms.  |
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.  |
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. March 11, 2009 Halah Touryalai |
Extreme Makeover: SEC With or without an increased budget, the SEC wants to make up for its shortcomings.  |
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?  |
Investment Advisor March 2010 James J. Green |
B/D News Bulletins and news of interest to broker/dealers from FINRA and the SEC.  |
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.  |
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?  |
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.  |
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.  |
Investment Advisor April 2006 Elizabeth Festa |
A Less Scary SEC? SEC Commissioner Atkins promises more restraint in dealing with financial advisors.  |
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.  |
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  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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 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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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?  |
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.  |
Financial Planning October 1, 2006 William Cavell |
Compliance Tips Tips for Before and During an SEC Exam  |
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.  |
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.  |
Financial Advisor July 2011 Andrew Gluck |
Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance.  |
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.  |
Registered Rep. March 1, 2007 |
The Upstarts There are some upstart custody/clearing firms who are winning business from the behemoths.  |
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.  |