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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?  |
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.  |
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 Advisor July 2011 Andrew Gluck |
Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance.  |
Registered Rep. March 14, 2012 Jerry Gleeson |
The Long Goodbye This year, about 3,200 mid-sized RIAs will say goodbye to the Securities and Exchange Commission, transferring their registration to the states where they do business.  |
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.  |
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.  |
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.  |
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.  |
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 October 2012 Brian Hamburger |
Sleight Of Hand The apparent death knell of Finra as an SRO by no means signals victory.  |
Financial Planning March 1, 2013 Kenneth Corbin |
SEC Registration Deadline Looms As annual registration nears, compliance experts warn RIAs to be cautious about their numbers.  |
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.  |
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.  |
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 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 Planning November 1, 2009 Robert Pozen |
Think Twice Congress is seriously debating legislation that would significantly expand the coverage of the Investment Advisers Act, empower the SEC to make rules on advisor compensation and increase the likelihood of lawsuits against advisors.  |
Investment Advisor September 2007 Melanie Waddell |
Hedge Funds Continue to Deregister During the past year, 732 hedge fund advisors have deregistered, according to the Investment Adviser Association and National Regulatory Services seventh annual report, Evolution/Revolution, which profiles the advisor profession.  |
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 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.  |
Registered Rep. November 16, 2012 Jerry Gleeson |
Tardy Advisors Get a Reprieve Mid-sized RIAs who are behind on switching their registration from federal to state jurisdictions now have until Dec. 17 to get caught up.  |
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 Advisor November 2009 Jeff Schlegel |
The Great Debate Financial services reform is coming. How will it impact advisors?  |
Registered Rep. February 7, 2012 Diana Britton |
Are Regulations Killing the Hybrid Financial Advisor? Some advisors say new compliance and regulatory burdens under Dodd-Frank are making the hybrid model untenable.  |
Financial Planning April 1, 2012 Bob Veres |
21st Century Regulation What is the best way to regulate fiduciary RIAs? How best can we identify and weed out bad apples and better protect consumers in the process?  |
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?  |
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.  |
Registered Rep. September 16, 2011 Jerry Gleeson |
RIA Interest in Financial Planning Grows, Industry Data Suggests Financial planning activities are playing a growing role in the service offerings of registered investment advisors.  |
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.  |
Registered Rep. September 2, 2009 John Churchill |
SEC Blew It With Madoff, Inspector General Says SEC Chairman Mary Schapiro announced the release today of the Office of the Inspector General's report on the Bernard Madoff fraud. It says, in short, the SEC screwed up in every way possible.  |
Investment Advisor October 2010 Melanie Waddell |
Dissecting the FSI's Position on Fiduciary As a new study finds investors still confused, Financial Services Institute president Dale Brown presents the independent broker/dealer perspective.  |
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.  |
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.  |
Registered Rep. April 1, 2007 |
Turf Wars Over Advice The age-old debate between the b/d and investment advisor (RIA) industries over who should be able to provide advice and when, and whose regulatory regime offers better investor protections, is far from over.  |
Financial Advisor April 2009 Jeff Schlegel |
Fiduciary Fracas People from all corners of the financial services industry are weighing in with their ideas about the future shape of the industry, including thoughts about whether all financial advisors should be held to the fiduciary standard of client care.  |
Investment Advisor June 2009 Thomas D. Giachetti |
Expert's Corner: Complacency, Risk and the SEC Often advisors become complacent with respect to compliance, but all RIAs must recognize that compliance is an ongoing process requiring the review/update/amendment of regulatory filings, disclosures, and procedures.  |
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.  |
Registered Rep. December 16, 2011 Jerry Gleeson |
Compliance Outsourcing Gains Favor With RIAs Charles Schwab's RIA Benchmarking Study this year reports that 38 percent of firms were outsourcing their compliance functions, up from 27 percent in 2010.  |
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. 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.  |
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.  |
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.  |
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 April 2004 David J. Drucker |
Living With The Rules How to keep the SEC happy without going out of business.  |
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.  |
Investment Advisor September 2006 Jeff Joseph |
Hedge Fund Focus: RIAs Turning to Alternatives A more hands-on approach to investments is being taken by registered investment advisors, including the use of alternative products, according to a new survey.  |
Registered Rep. July 24, 2007 John Churchill |
SEC to RIAs: Welcome In keeping with regulators trying to be more proactive and less reactive, the SEC is cozying up to newly registered investment advisers.  |
On Wall Street June 1, 2010 Mark Astarita |
Tilting the Litigation Landscape Against the Financial Industry Current reform proposals could radically alter the broker-client relationship.  |
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.  |