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Financial Advisor September 2009 Joel P. Bruckenstein	What Are The Odds? A look at whether Monte Carlo simulations help or hinder the planning process.
Registered Rep. August 28, 2002 Rick Weinberg	NASD Looks To Approve Broker, Brokerage Firm Use of Investment Analysis The NASD is looking to approve a proposal that would allow brokers and brokerage firms to provide clients with interactive investment analysis tools.
Wall Street & Technology February 27, 2005 Maria Santos	Making Monte Carlo Work The National Association of Securities Dealers (NASD) has lifted the ban on Monte Carlo simulation tools.
Financial Planning August 1, 2005 John Nersesian	The Full Monte By presenting clients with a range of potential results before they experience them and showing them the impact of their investment choices, planners can manage clients' expectations much better than with standard linear forecasting.
Wall Street & Technology January 9, 2006	IPlan Adds Monte Carlo Sims Ibbotson Associates has added Monte Carlo simulations to version 2.0 of iPlan, its Web-based investment planning software.
Financial Advisor August 2009 Bruce W. Fraser	Last Hand For Monte Carlo? Monte Carlo simulation, a popular retirement planning tool, is under scrutiny.
Financial Advisor January 2005	Frontline News America Views The Economy In Shades Of Red And Blue... Regulators OK Monte Carlo Tools... TD Waterhouse Backs FPA Stand Against SEC Rule... PowerBroker To Offer Free Edition For Planning Students... etc.
Investment Advisor July 2006 Melanie Waddell	Retirement Planning: Keying Into Income Needs Two of the top providers of financial planning software -- Morningstar and EISI -- are heeding advisors' calls for help in crafting retirement distribution strategies.
Registered Rep. January 1, 2009 Brent E. Bentrim	Letters Two articles espousing the merits of Monte Carlo Simulations (MCS) were alarming.
Financial Advisor May 2010 Joel P. Bruckenstein	Getting Risk Right More retirement planning programs now consider "fat tails."
Registered Rep. April 8, 2003 Will Leitch	SIA Calls NASD Proposal Unfair The Securities Industry Association has weighed in negatively on the NASD's proposed changes to the handling of central registration depository (CRD) complaints.
Registered Rep. December 4, 2006 Kevin Burke	FIA Urges NASD Committees to Revise Merger Small broker/dealer firms are trying to slow the proposed merger between the NASD and NYSE Regulation, saying that it's being pursued too hastily and the consequences are not clear.
Registered Rep. April 12, 2004 Will Leitch	A.G. Edwards Inks Deal With Morningstar A. G. Edwards signs deal with investment research firm Morningstar to integrate its mutual fund research, data and ratings with Edwards' existing infrastructure.
CIO July 1, 2003 Scott Berinato	Playing with Fire IT is late to embrace risk analysis, but without it, project portfolio management is nothing more than a fad.
Bank Systems & Technology February 11, 2004 Ivan Schneider	Rock-a-bye-Baby Boom You don't have to be young to seek sound advice, especially in financial planning. The great demographic surge is almost upon us. And members of the baby-boom generation, from the wealthy to the fabulously wealthy to the merely well-off, all need good financial advice.
Registered Rep. October 26, 2004 David A. Gaffen	Citi Fined by NASD for Hedge Fund Marketing Citigroup was censured and fined, but neither admitted nor denied the charges. A company spokeswoman said the firm "took immediate action in cooperating fully with the NASD to make sure all materials comply with current NASD guidance."
Registered Rep. October 1, 2004 David A. Gaffen	Sharp Words for the NASD From Raymond James' Averitt The CEO directed biting criticism towards NASD regulators currently investigating fee-based advisory practices. Advisors also pointed out that the asset allocation and investing processes are being left out of the equation.
Registered Rep. June 1, 2004	10 Years Ago in Registered Rep NASD warnings, again.
CIO January 1, 2003 Michael Schrage	When Good People Make Bad Decisions New economic research affirms what most executives suspect: Even when given good data, people make bad decisions. We misunderstand, misinterpret and mismanage important problems. There are technologies emerging now to help us fix those bugs.
Wall Street & Technology May 25, 2005 Maria Santos	Innovative Technologies & Services Monte Carlo Hits Top Speed... Customized Reporting Made Easy... Teaming Up for Data Auditing...
Financial Advisor September 2010 Andrew Gluck	Broken Plans Financial advisors urgently need improved tools for coping with the economic mess we're in. What's to be done?
Registered Rep. September 28, 2004 David A. Gaffen	The NASD Has Clients' Number The organization will be increasing its use of unsolicited phone calls to clients within the course of investigations into broker/dealer activities -- including calls to clients who have not lodged complaints, which has angered executives.
Financial Advisor June 2004 Raymond Fazzi	When VUL Lapses One of the problems the bear market left in its wake is a rash of variable universal life policies that are underfunded.
Registered Rep. September 3, 2003 David Gaffen	NASD: Brokers With Complaints Need A Watchful Eye Heed the red flags. This is the thrust of a new NASD proposal that would require brokerage houses to devote extra supervision to reps with extensive numbers of complaints or regulatory actions against them.
Financial Planning June 1, 2007 Marshall Eckblad	4 Questions Mary Schapiro is chairman and CEO of the NASD, which is set to merge later this year with the New York Stock Exchange. Here, she spoke about the new organization that she has been appointed to lead.
Financial Planning December 1, 2005 Lynn Hume	Ameriprise to Pay $1.25 Million Fine for 529 Sales In a first-of-a-kind enforcement action, the NASD ordered the former American Express Financial Advisors to pay $1.25 million for failing to adequately supervise its sales of Section 529 college savings plans.
Registered Rep. January 1, 2003 Bill Singer	Who Regulates the Regulators? In the securities industry, brokers are expected to follow the rules. If you don't, you will be held accountable by the NASD. But what do you do if the NASD doesn't follow the law?
Financial Advisor October 2008 Roy Diliberto	The Dynamic Process Of Monitoring Goals It is our job -- no it is our obligation -- as planners to help our clients achieve their goals and dreams. That may involve changing our portfolios and the way we report results.
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.
Science News September 27, 2003 Ivars Peterson	The Bias of Random-Number Generators Researchers in Germany have provided some mathematical insight into why many random-number generators give wrong results in so-called cluster Monte Carlo simulations and related computational experiments.
Registered Rep. August 31, 2004 David A. Gaffen	Sharp Words for the NASD By Raymond James' Averitt Dick Averitt of Raymond James Financial Services had some particularly harsh words for the National Association of Securities Dealers over fee-based accounts in a speech at RJFS' semiannual financial conference on Monday morning.
Registered Rep. March 17, 2003 Will Leitch	Unfair Disclosure For The Broker? In a little-publicized move, the NASD has formed a Public Information Review Initiative, which would radically expand investors' access to information about brokers.
The Motley Fool June 21, 2004 Charly Travers	Biotech's Full Monte When it comes to valuing biotech companies, the Monte Carlo simulation lets investors leave the guesswork behind and the random sampling to a computer.
Registered Rep. November 7, 2006 Kevin Burke	NASD Whacks Two Firms with Fines Over Ill-Advised 529 Sales The NASD said on Monday that it has fined Chase Investment Services and MetLife Securities for failing to establish internal controls to supervise the sale of 529 college savings plans.
Registered Rep. March 1, 2003 Will Leitch	Doing the NASD After waiting more than a year for face time with the NASD, a dissident group finally got the opportunity to air its grievances. Problem is, now it's required to keep quiet about the meeting.
Registered Rep. December 6, 2006 Kevin Burke	FIA Calls for Schapiro to Resign Two groups of small broker/dealer firms are calling for Mary Schapiro to step down.
Registered Rep. January 8, 2003 Ross Tucker	SIA Urges No Change to Branch Office Definition The SIA has expressed serious concerns over proposed changes by the NYSE and SEC that would alter the qualifications by which a broker/dealer office is considered a branch office.
Financial Planning August 1, 2006 Marianne Czernin	Compliance Tips Spotlight on Your Email: NASD Rule 3010 requires all broker-dealers to develop appropriate supervisory policies that prohibit registered representatives from electronically corresponding with the public, unless the communications are subject to those supervisory and review procedures.
Registered Rep. March 9, 2006 Halah Touryalai	NYSE Reg. And NASD: Merger `Em?; A Senate Committee Opens Hearings on SROs Are federal securities laws crafted in the 1930s still effective 70 years on? And, more important, is a privately owned, for-profit NYSE Group able to "self-regulate" itself without being mired in conflicts? And, as registered reps, should you care?
Registered Rep. November 29, 2006 Kevin Burke	Small Firms Move to Block NYSE/NASD SRO Merger Not everybody is cheering the formation of a single self-regulatory organization. An insurgency of small brokerage firms is urging their peers to strike down yesterday's announced merger between the regulatory arms of NYSE and NASD.
Registered Rep. September 1, 2004 Will Leitch	For Advisors, 2003 Was a Better Year The fortunes of advisors took a turn for the better in 2003, according to the annual report from the Securities Industry Association.
Registered Rep. April 7, 2005 Kristen French	NASD Advocates More Disclosure, Less Paper Broker/dealers and their reps may get a big break on point-of-sale disclosure if the Securities and Exchange Commission heeds recent NASD advice.
Registered Rep. January 30, 2007 Halah Touryalai	At Independent B/D Confab, Optimism and Skepticism The head of the Financial Services Industry Institute is feeling a little more comfortable with regulators. But, on the other hand, the chairman of the FSI also warns that the combining of the NYSE and NASD might create a power struggle among "second-level" regulatory staffers.
Investment Advisor October 2008	Catching up with... Dick Averitt A short conversation with Dick Averitt, chairman and CEO of Raymond James Financial Services.
Registered Rep. April 28, 2005 John Churchill	NASD Sends Older Reps Back to the Classroom All registered reps are required to complete the regulatory sections of the NASD's continuing education curriculum. According to the Securities Industry/Regulatory Council on Continuing Education, there are currently 109,000 exempted reps that will now have to take the test.
Investment Advisor February 2007	Gender Differences in Investor Behavior In general, this NASD survey raises more questions than answers. However, it is these questions that provide guidance in establishing a shared context for learning and a focus for exploring the underlying beliefs held by women about the management of money and investments.
Financial Planning February 1, 2007 Marshall Eckblad	5 Questions A short interview with Margaret Sheehan, author of Practical Guide to NASD Regulation about the outlook for the NASD in 2007.
Investment Advisor October 2006	NASD Notice 06-38 Guidance: Life Settlements -- Member obligations with respect to the sale of existing variable life insurance policies to third parties.
Financial Advisor November 2003 Joel Bruckenstein	New And Improved Software providers enhance existing products for financial advisors and add new ones.
Wall Street & Technology March 21, 2006	Consumers to Foot Compliance Bill? The securities industry's cost of compliance has nearly doubled over the past three years, and costs may be passed on to investors through higher prices and fewer choices.