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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 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
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
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. 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
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 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
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. 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
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
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
Financial Advisor
July 2011
Bernie Clark
A Record Year For RIAs Discipline both on the expense and client care sides has created sound business practices for an evolving RIA industry. mark for My Articles similar articles
Registered Rep.
December 5, 2011
Anne Field
How to Bust Out to a Fee-Only Model In the two years since he's joined Moneta Group, Pat Howley has moved his business from 60 percent commission to 90 percent fees. mark for My Articles similar articles
Financial Planning
September 1, 2012
Bob Veres
Why Doesn't the RIA Community Come Up With Better Proposals? Instead of fighting against bad proposals, shouldn't the RIA community be proposing better alternatives? We assume that the goal of the Dodd-Frank Act is to tighten up lax RIA regulation. 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
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
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
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
Investment Advisor
April 11, 2011
Melanie Waddell
SEC to Meet Dodd-Frank's July Deadline on 'Switch,' Private Fund, Venture Fund Advisors While final rules will be out by July 21, SEC will give advisors more time to comply 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
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. 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
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
Financial Advisor
December 2010
Frontline News RIAs Transferred To States May Get Dual Exams... Piqued By Peak Oil... The Art Of The Referral... etc. 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.
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
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
Investment Advisor
August 2006
Thomas D. Giachett
Expert's Corner: A Process, Not a Destination With the advent of SEC Rule 206(4) 7, which requires SEC-registered investment advisors to implement and maintain policies and procedures appropriate for their investment advisory business, it is more critical than ever for all RIAs to recognize that compliance is an ongoing process. mark for My Articles similar articles
Wall Street & Technology
July 27, 2004
Jessica Pallay
Analyzing AML Audits After years of preparation, regulators are ready to see the fruits of Wall Street's hard work on anti-money laundering. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
December 1, 2006
Anne Field
The Metamorphosis If you are ready to go out on your own as a registered investment advisor, you're likely to encounter a host of tricky problems and stumbling blocks. Here's a look at five of those problems and what you can do about them. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
February 1, 2005
Pam Black
Why More Reps Are Getting Their Kicks on Route 66 What's driving top reps to Series 66 RIA designation is not regulatory rules. It's changes in the wirehouse environment that, newly minted RIAs say, made it harder for them to do their own thing. mark for My Articles similar articles
Financial Advisor
August 2009
Eric Rasmussen
Wish Upon An 'IAR' RIA or IAR? Registered investment advisor or independent advisor representative; the anagram you choose will depend on how big you are and how independent you want to be. mark for My Articles similar articles
Financial Advisor
June 2005
Raymond Fazzi
Regulatory Challenges Top Broker-Dealer Agenda Rarely has the potential of the financial advisory business, with a huge demographic wave of baby boomers approaching retirement, looked brighter. But never has the regulatory climate been more challenging. mark for My Articles similar articles
Financial Advisor
June 2004
Tracey Longo
Compliance Overload A white-hot regulatory agenda is bedeviling independent broker-dealers in the U.S. mark for My Articles similar articles
Registered Rep.
November 1, 2006
Susan Konig
A Big Trade Off? For advisors looking for further independence through a registered investment advisory firm, compliance burdens can increase. Reps working under an independent b/d's umbrella RIA, also known as "dually registered" advisors, must comply with both NASD and SEC rules. mark for My Articles similar articles
On Wall Street
February 1, 2013
Kenneth Corbin
Regulatory Forecast Bodes Change Advisors could see talks on oversight and a fiduciary standard move forward this year. mark for My Articles similar articles
Investment Advisor
June 2006
Melanie Waddell
The Playing Field: Masters at the Helm Former SEC chairman Arthur Levitt and past NASD and Nasdaq Stock Market chairman and CEO Frank Zarb have joined a consulting firm's heavy hitters. 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
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
Investment Advisor
May 1, 2011
More Than Kin, Less Than Kind Legitimate questions raised by Republicans should be answered. The problem is that the incestuous relationship the SEC has with the industry does not allow a frank discussion of what regulatory reform means to the consumer for fear of criticizing the industry's current state. mark for My Articles similar articles
Financial Planning
March 1, 2011
Bob Veres
Gold Into Straw In mid-January, the SEC released its "Study on Investment Advisers and Broker-Dealers" to Congress. Analyzing the study provides an insightful look into how the SEC views the "harmonization" of two different regulatory structures. mark for My Articles similar articles
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? mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
March 2006
Melanie Waddell
The Playing Field: Here, There and Everywhere Dually registered advisors (advisors who are registered with both the SEC and the NASD, and are collecting both fees and commissions) have the best -- and worst -- of both worlds. However, a new study shows when implemented properly, the hybrid model can be very profitable. mark for My Articles similar articles
Financial Planning
September 1, 2006
Jane Worthington
Accounting for Compliance Instead of viewing compliance as a necessary evil, financial advisors should see it as a cost of doing business and learn how to quantify that cost. mark for My Articles similar articles
Financial Advisor
June 2011
Bruce W. Fraser
Rebuilding Trust - Part 2 Six leaders in the wealth management continue their discussion of the advisory industry and how new rules and regulations will impact it. mark for My Articles similar articles
Investment Advisor
October 2008
Bob Clark
The Real Deal MarketCounsel is focused on taking the independent advisory model to the next level. 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