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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
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
Financial Planning
December 1, 2010
Donna Mitchell
Turning on the Charm Next month the SEC reports to Congress on its recommendations for enhancing examinations for investment advisors. FINRA, meanwhile, is trying to persuade movers and shakers on the Hill that it already has the answers. 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
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
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
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 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 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 Planning
April 1, 2012
John K. Ritter
Fight On There is a major fight going on between planners and regulators about how to define and apply a fiduciary standard. Yet despite the high stakes, it seems that few planning professionals have chosen to join in and make their opinions known. mark for My Articles similar articles
Financial Advisor
June 2012
Jim McConville
Advisor Groups Renew Challenge To Finra's SRO Cost Estimates A coalition of financial advisor industry groups last month resumed its assault on the Financial Industry Regulatory Authority's cost estimates for creating a self-regulatory organization to review investment advisors. 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
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
December 1, 2011
Bob Veres
Regulatory Armaggedon The Republican leadership in Congress has proposed that the SEC authorize one or more self-regulatory organizations to take over regulation of RIAs. This has been coordinated with massive Wall Street lobbying. mark for My Articles similar articles
Financial Planning
September 1, 2012
Eric Schwartz
Eric Schwartz of Cambridge Investment Discusses RIAs A proposal to deal with RIAs regulatory advantage over independent broker-dealers. 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
Financial Advisor
February 2011
Evan Simonoff
A Different Playing Field Regulatory reform is at the top of RIAs' minds going into 2011. 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
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 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
Investment Advisor
July 1, 2011
Bob Clark
If You Want Something Done Right It's beginning to look like the only way Dodd-Frank reregulation is going to turn out well is if RIAs form their own SRO. 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
Financial Advisor
March 2011
Evan Simonoff
Seeing Is Almost Believing FINRA CEO, Rick Ketchum, came across as an exceptionally intelligent, well-meaning person with a remarkable understanding of both the securities and investment advisory businesses. mark for My Articles similar articles
Financial Advisor
November 2009
Jeff Schlegel
The Great Debate Financial services reform is coming. How will it impact advisors? mark for My Articles similar articles
Investment Advisor
December 21, 2010
James J. Green
FSI Endorses FINRA as SRO for Investment Advisors Dale Brown says FINRA option is "best way to address the regulatory gap." 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
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
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
July 2009
Bob Clark
Clark at Large: Reality Check Washington is far more likely to tweak the existing system than to rewrite the investment advisor legislation. mark for My Articles similar articles
Registered Rep.
June 17, 2009
Christina Mucciolo
The Fiduciary Battle Continues, Now Under Federal Microscope Among other measures, the Obama administration proposed today that the Securities and Exchange Commission require that broker-dealers offering investment advice be held to the fiduciary standard rather than the suitability standard. 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 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. 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
Investment Advisor
August 2010
Melanie Waddell
Will the States Be Able to Regulate Big RIAs? State regulators and the Securities and Exchange Commission (SEC) will meet soon to iron out the details of shifting nearly 4,000 advisors from federal to state supervision. 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
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
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
Financial Planning
July 1, 2012
Bob Veres
Gaps of Logic FINRA has been an effective bludgeon against the small independent B-D world, creating paperwork requirements whose costs are best amortized over larger hordes of retail advisors. 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.
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
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. mark for My Articles similar articles
Registered Rep.
November 4, 2009
Bill Singer
Rep. Bachus Slips One In (Not Everyone Is Cheering) Has Capitol Hill taken its legislative legerdemain to new depths? 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.
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
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.
October 6, 2011
Andrew J. Haigney
Opinion: FINRA Is an Ineffective Regulator FINRA, the brokerage industry's self-regulatory organization, finds itself in caught up in the industry's death spiral. This non-government, private corporation's fortunes are tied to brokerage firms. 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
October 1, 2013
Five Questions with A. Heath Abshure A. Heath Abshure, the outgoing president of the North American Securities Administrators Association discusses his tenure. 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 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