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Investment Advisor
March 1, 2011
Thomas D. Giachetti
Get Form ADV Right New requirements and changing deadlines could make filing Form ADV a tricky business. mark for My Articles similar articles
Financial Planning
May 1, 2008
Rick Cortese
New Form ADV 2 On March 3, 2008, the SEC proposed amendments to Form ADV Part 2. mark for My Articles similar articles
Registered Rep.
March 1, 2008
Plain English: The Cost of Compliance The SEC voted in February to propose changes to the structure of the Form ADV, the disclosure document that all investment advisors must complete. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Advisor
January 2011
Joel P. Bruckenstein
ADV Help This new Web-based platform helps RIAs easily update their regulatory reports. This form is the primary disclosure document that SEC-registered investment advisors are required to provide to clients. mark for My Articles similar articles
Financial Planning
April 1, 2008
Lisa Roth
Straight Talk Given the SEC's proposal on a plain-English online Form ADV 2 disclosure brochure, now is the time for advisors to brush up on their language skills. mark for My Articles similar articles
Financial Advisor
October 2010
Frontline News New SEC requirements that financial advisors create a plain-English version of Form ADV Part 2... Fiduciary Standard Lobbying Season... Does Schwab's Purchase Of An RIA Portend A New Trend?... etc. 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
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
Registered Rep.
May 9, 2011
Gleeson & Britton
New SEC Disclosure Rules Dismay Some Advisors; Advisor Disciplinary Histories in Welcome Packets New SEC rules that require federally-registered advisors to disclose their disciplinary histories in brochures and provide them to clients will get under way in earnest by the end of the summer. mark for My Articles similar articles
Financial Planning
February 1, 2008
Jeanne Lee
Regulatory Roundup With regulatory agencies under political pressure to take a tougher stance on investor protections, financial advisors need to stay abreast of a number of proposed rule changes that could come online in 2008. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Planning
October 1, 2006
Elizabeth O'Brien
Bookshelf The RIA's Compliance Handbook by Elayne Robertson Demby is a comprehensive guide for registered investment advisors. Readers can earn 20 hours worth of CFP continuing education credits by passing a 35-question exam located in the back of the book. 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
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
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. mark for My Articles similar articles
Financial Planning
April 1, 2007
John J. Bowen
Policing Your Practice If you build an effective compliance system, your firm will be more appealing to both clients and buyers. Here's how to build a great compliance system. mark for My Articles similar articles
Registered Rep.
July 8, 2015
Jerry Gleeson
The New Sheriffs In 2012, more than 2,000 RIA firms who had only known the regulatory scrutiny of the Securities and Exchange Commission were transitioned over to the Wild West of state securities regulators. mark for My Articles similar articles
On Wall Street
July 1, 2010
Frances A. McMorris
Confusion Reigns Among Wirehouse Advisors On The Fiduciary Issue With all the frenzy over the call for a universal fiduciary standard for all financial and investment advisors, it appears that those in the wirehouses don't really understand the debate. 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
April 2004
David J. Drucker
Living With The Rules How to keep the SEC happy without going out of business. mark for My Articles similar articles
Investment Advisor
March 2006
Melanie Waddell
Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away. 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
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.
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. mark for My Articles similar articles
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. 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
Investment Advisor
February 2009
Kara P. Stapleton
Stressed Out? It's no news that advisors are overwhelmed, considering the behavior of the markets and the state of the economy. mark for My Articles similar articles
Financial Advisor
May 2008
Frontline News Clients Ticked Off At Their Advisors... Surprising Conclusions About Client Loyalty... The Keys To A More Profitable 401(k) Practice... etc. mark for My Articles similar articles
Financial Advisor
October 2010
Andrew Gluck
Pulling The Switch Are state regulators ready to assume oversight of some 4,200 RIAs? mark for My Articles similar articles
Investment Advisor
February 2008
Thomas D. Giachetti
Is an IPS the Answer? Investment Policy Statements can be helpful, but remember, longer documents aren't always better. mark for My Articles similar articles
Investment Advisor
January 2009
James J. Green
What to Do Now? When you're in the middle of a crisis, by definition it's difficult to plan ahead to avoid the next crisis, but that's exactly what the smart, growing, most profitable advisors tend to do. 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
Investment Advisor
August 2008
Thomas D. Giachetti
The Three Troubling Themes How to combat compliance misunderstanding and misdirection. 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
Financial Planning
March 1, 2008
Bob Veres
Deconstructing Rand A report written by the Rand Corp. will help the SEC's staff decide who should and should not be registered as an registered investment advisor, and to determine whether investors understand the differences between and relationships among broker-dealers and investment advisors. mark for My Articles similar articles
Registered Rep.
February 1, 2006
Kristen French
Both Sides Now Brokers who hold dual licenses -- both the Series 7 and Series 65 licenses -- will have to take fiduciary responsibility on some accounts. But they can also sell investments, after they make it crystal clear that they're doing so. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Planning
May 1, 2007
Nancy Lininger
Compliance Tips For financial planners, these tips can help you efficiently balance your compliance obligations to regulators, clients and your operations. 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 Advisor
November 2012
Mary Rowland
Tough Test An entrepreneur evaluates advisors for the wealthy. These families now have a "search firm" to perform due diligence on advisors and help the families find exactly the right one. 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 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
November 2006
Thomas D. Giachetti
Defining Fiduciary What is a financial advisor's true fiduciary duty? mark for My Articles similar articles
Financial Advisor
June 3, 2010
Frontline News Advisor news: Threshold Rising... Staying Healthy May Cost You In Retirement... SEC Looks To Update ADV Part II... IRS Sets Sights On The Very Wealthy... more... mark for My Articles similar articles
Investment Advisor
February 2008
Melanie Waddell
A Busy Year in Washington Now that the Rand report assessing the advisory and broker/dealer industries has been released, No doubt advisors and brokers will be anticipating any possible regulatory actions that the SEC may take. mark for My Articles similar articles
Investment Advisor
February 2008
Melanie Waddell
A Groundbreaker SEC's Rand report, of the broker/dealer and investment advisory industries will dominate the discussion among brokers and advisors in 2008. 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
Investment Advisor
February 1, 2011
Bob Clark
An Old Dog Learns Some New Tricks Or a funny thing happened on the way to The Dodd-Frank Wall Street Reform Act. mark for My Articles similar articles
Investment Advisor
July 2008
Group Think The CFP Board has filed a comment letter with the SEC welcoming the Commission's proposal to improve the quality of information that investment advisors must provide to clients and prospective clients. mark for My Articles similar articles