MagPortal.com   Clustify - document clustering
 Home  |  Newsletter  |  My Articles  |  My Account  |  Help 
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
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.
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
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
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
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 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
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
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
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
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
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
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
June 2011
David Lawrence
A New Dawn More firms may merge or form strategic alliances in the wake of new rules that require small advisors to switch regulators. 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
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. 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
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
Registered Rep.
June 15, 2010
Kristen French
NASAA Says Reg-D Is Second Biggest Investor Protection Concern NASAA President Denise Voigt Crawford outlined the biggest investor protection provisions in Wall Street reform legislation that are supported by the organization. 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
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 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
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
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. 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 Advisor
November 2009
Jeff Schlegel
The Great Debate Financial services reform is coming. How will it impact advisors? 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
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
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
Investment Advisor
March 2007
Melanie Waddell
States' Rights The North American Securities Administrators Association's agenda includes preserving state regulators' authority. mark for My Articles similar articles
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. 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
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
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
July 2010
Melanie Waddell
A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward. 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 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
Investment Advisor
March 1, 2011
Melanie Waddell
SEC Fiduciary Rule May Hit by Summer Despite the advisory industry's hopes that the Securities and Exchange Commission would get a quick start on writing a rule to put brokers under the same fiduciary standard as advisors, it looks as though a rulemaking could come by summer. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
November 17, 2010
Thomas D. Giachetti
Will You Stay SEC Registered in 2011? Regulatory changes could cause confusion for advisors mark for My Articles similar articles
On Wall Street
December 1, 2010
Alan J. Foxman
When FINRA Intervenes Even non-member firms (such as registered investment advisors) can voluntarily agree to use either FINRA's arbitration or mediation services. 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
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
Investment Advisor
June 2008
Mark Tibergien
Truth and Consequence Are more regulations for the financial services sector really needed, or just better enforcement of what's now on the book? mark for My Articles similar articles
Investment Advisor
July 1, 2011
Melanie Waddell
Fiduciary D-Day Arrives As the SEC launches into rulemaking, lots of 'thorny issues' will surface. mark for My Articles similar articles
Investment Advisor
February 2007
Thomas D. Giachetti
When Should You Register? Should an investment advisor with $30 million of "assets under management" register with the SEC? It depends on whether the advisor has "qualifying" assets under management. mark for My Articles similar articles
Registered Rep.
December 20, 2010
Diana Britton
RIAs Reinvesting in Their Firms Despite Economic Uncertainty Forty-six percent said they are optimistic about the direction of the economy, up 30 percent from last quarter. mark for My Articles similar articles
Registered Rep.
June 25, 2010
Kristen French
The Final Wall Street Reform Bill And You After a herculean 20-hours straight of negotiations, Congressional committee members agreed Friday morning to a Wall Street reform package that will be much tougher on the country's banks. 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
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