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The Motley Fool April 26, 2004	Stocks From the Attic Are your decades' old stock certificates worth anything? There are enough lost treasures out there to make it worthwhile to check them out.
Registered Rep. October 1, 2002 David A. Geracioti	Outgrowing the Series 7? Registered investment advisors must take the Series 65 exam. As the line between brokers and financial advisors blurs, what responsibilities do brokers that dispense advice and collect a fee based on assets have?
The Motley Fool March 14, 2005	Are Your Stocks in Street Name? Street name ownership seems shady, but it's handy. It's merely an artificial classification designed to facilitate trading.
The Motley Fool December 26, 2006 Dan Caplinger	The SEC's Gift to You: Part 2 By giving the investing public access to information, and serving as a regulator with the power to take action to correct problems, the SEC works hard to protect investors.
Registered Rep. December 10, 2003 David A. Gaffen	Securities Revenues Fall in Third Quarter Securities firms showed profits of $3.0 billion in the third quarter of 2003, a 45 percent decline from the second quarter, according to the Securities Industry Association. A significant drop in trading revenue was responsible for the profit hit.
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.
OCC Bulletin January 25, 2007	Registered Transfer Agents: Transfer Agent Registration, Annual Amended rules will require registered transfer agents to file Form TA-2 electronically through the SEC's Electronic Data Gathering, Analysis, and Retrieval system.
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.
Registered Rep. August 10, 2004 David A. Gaffen	Fleeing Brokers Can Take Some Client Info Three of the nation's largest brokerage firms have agreed to make it easier for registered reps to take clients with them when they change firms, eliminating a lot of the cloak-and-dagger antics that brokers often suffer when making a move.
InternetNews March 24, 2011	Iran May Have Attacked the Web In an attack last week, valid security certificates that could have been used to mount attacks on users worldwide.
Registered Rep. February 2, 2006 Kristen French	Brokers Learning to Play by New Rules It's no longer business as usual on Wall Street. Starting yesterday, broker/dealers must follow a new SEC rule that requires them to disclose at certain times that they may not be acting in their clients' best interest.
OCC Bulletin June 26, 2003	Securities Offering Disclosure Rules Reporting and disclosure requirements for National Banks with securities registered under the Securities Exchange Act of 1934
OCC Bulletin January 15, 2004	Reporting and Disclosure Requirements for National Banks with Securities The final rule, entitled "Reporting and Disclosure Requirements for National Banks With Securities Registered Under the Securities Exchange Act of 1934; Securities Offering Disclosure Rules," amends 12 CFR 11 and 12 CFR 16.
Bank Systems & Technology March 19, 2009 Maria Bruno-Britz	Citi Files for Reverse Stock Split, Exchange Offer Citigroup is following through with its plans to build capital by petitioning the SEC for permission to convert preferred shares into common stock and a reserve split.
The Motley Fool October 25, 2007 Dan Caplinger	Brokers for Expert Investors Have you outgrown your brokerage account? When you're just getting started with investing, comparing brokerage firms is pretty easy. But when you go beyond the basics, you need a broker who provides more.
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.
Financial Planning November 1, 2006 Marianne Czernin	Compliance Tips Registered reps have lots of eyes watching them. Supervisors, compliance personnel, sales directors, and operations all scrutinize reps' activities. But these aren't the only people interested in reps' movements.
Registered Rep. June 25, 2003 Nigel Goodman	Tech Spending on the Wane Technology spending is dropping at securities firms, and some reps are starting to feel the pinch.
Registered Rep. September 1, 2004 David A. Gaffen	Parting is Such Sweet Sorrow You won't have to steal client addresses and phone numbers any more when switching firms --- that is, if you work for Merrill Lynch, Smith Barney or UBS Securities.
On Wall Street July 1, 2010 Alan J. Foxman	Dueling Investigators Advisor Q&A: Why must agencies duplicate investigatory efforts?... Should I worry about reps picking up bad habits from old firms?...
Registered Rep. May 6, 2003 Ross Tucker	Wall Street Employment: Worst Market Ever? Yup. It's bad out there. The securities industry has lost a record number of jobs, according to a recent report from the Securities Industry Association. But as a percentage of total jobs, the 1973-1974 bloodletting was worse.
Investment Advisor February 2009 Kara P. Stapleton	Who's Investing Where? A new report for advisors finds nearly half of U.S. households own equities or bonds, a significant increase during the last two decades, however, ownership of these assets has declined since 2001.
Registered Rep. August 1, 2005 John Churchill	Brokers Called Up for Active Duty Face Licensing Headaches, Book-Poaching Colleagues For registered rep reservists serving in one of the nation's armed forces, coming home and returning to the job is soon to get a lot easier. Of course, the NASD says there is nothing it can do to prevent colleagues from stealing a GI advisor's book.
Registered Rep. October 1, 2005 Matt Barthel	Insurance and the Generation Gap Reps historically have been reluctant to sell life insurance because of the steep learning curve associated with the products, and there is evidence that many still are hesitant to put forth the effort necessary to grasp the products' nuances.
The Motley Fool February 9, 2005	Money Market Funds, Explained They're not exciting, but you may need them. They're generally ill-suited for long-term savings, but they're great for short-term investments, such as for money you'll need in the near future.
The Motley Fool January 15, 2004 Selena Maranjian	What to Do With Worthless Stock Sell it, even for a penny.
The Motley Fool February 3, 2006 Roy Lewis	Deduct Your Worthless Stock Has your investment gone south? Turn it to your tax advantage.
Registered Rep. August 29, 2006 Kristen French	Pru Agrees to $600 Million Market-Timing Settlement Prudential Equity Group admitted to criminal wrongdoing in connection with the market-timing practices of a number of its brokers between 1999 and June, 2003.
The Motley Fool August 29, 2006	Taking a Tax Loss A silver lining for loser stocks: They can lower your tax bill.
Registered Rep. March 1, 2005 Steve Watkins	Money in the Bank Bank-owned brokerage companies have awakened to the changes they need to make to attract top-shelf talent, and brokers are taking notice.
Registered Rep. November 1, 2005 John Churchill	The Money Squeeze There's one thing that stands between the big retail brokerage firms and the high profit margins that the executives of these firms and their investors seek: the financial advisor.
InternetNews December 31, 2003 Susan Kuchinskas	Some Microsoft IE Digital Certificates Near Expiration Is the discovery a harmless oversight or a sign that browser development and security are not high priorities in Redmond?
Registered Rep. November 1, 2005 John Churchill	Passing On Louisiana has the dubious distinction of being the last state to still require designated beneficiaries to submit to probate proceedings in order to gain ownership of securities accounts upon the death of the accounts' original owner.
Registered Rep. June 1, 2007	The Great Re-Sell How will registered reps re-position themselves with clients who have fee-based brokerage accounts?
Registered Rep. February 1, 2005 Mindy Diamond	Customize Your Career As a result of broker dissatisfaction with the status quo, the increasing clout of top producers (at some firms) and the need for firms to keep successful reps happy, we're beginning to see quite a bit more flexibility.
The Motley Fool December 26, 2006 Dan Caplinger	The SEC's Gift to You Securities regulation helps guard investors against fraud.
Investment Advisor September 2008 James J. Green	You're the Tops In a comprehensive face-to-face discussion, the leaders of the Broker/Dealers of the Year explain their firms' unique charisma and how they plan to remain at the summit of their professions.
Registered Rep. May 1, 2004	Cutting the Pace of Cost-Cutting New numbers from the Securities Industry Association suggest that cost-reduction efforts are easing.
InternetNews June 28, 2010	Millions of SSL Certificates Invalid: Study Are widely-used SSL security certificates being configured correctly?
Wall Street & Technology January 20, 2008 Cory Levine	Fixed-Income Products Fail to Go Fully Electronic New research reveals that not all types of fixed income securities are experiencing rapid electronification.
Registered Rep. September 1, 2007	Correction Advanced Equities corrects, confirms management program's average production.
U.S. CPSC November 12, 2008	CPSC Clarifies Certification Requirements: Agency Staff to Focus on Compliance with Safety Rules The U.S. Consumer Product Safety Commission issued a final rule by unanimous vote, addressing the conformity certification required for consumer products subject to safety rules under CPSC jurisdiction.
Registered Rep. April 28, 2003 David A. Gaffen	Wachovia's Banking Unit Has New Deal for Reps Wachovia Securities, which offers reps several different affiliation levels, has predictably come up with a recruiting deal that has several different plans reps can choose from. This particular deal is only for those reps applying to work in the bank branches.
Registered Rep. September 21, 2007 Halah Touryalai	Banks Officially Welcomed into the Brokerage World Under New SEC Rule It only took eight years, but the SEC and the Board of Governors of the Federal Reserve System passed final rules defining how banks can act as securities brokers.
Registered Rep. December 1, 2002 David A. Gaffen	Light A Candle, or Curse the Darkness For brokers and financial advisors, 2002 may be remembered as the year in which those who knew they had the right stuff redoubled their efforts to elevate their skills and become the kind of advisors who could survive the bear market and build a 21st century practice.
The Motley Fool March 30, 2010 Dan Caplinger	The Best Way to Buy Stocks Is one broker really that much better than another?
IndustryWeek September 1, 2005	Finance: True To Reform New rules affecting the ways companies offer and register securities are slated to take effect on Dec. 1, 2005.
The Motley Fool April 30, 2009 Dan Caplinger	Tools to Make You a Better Investor Brokers have been hurting, and you can take advantage. With brokers focusing on getting your business, you'll find them developing and expanding on tools that could help you invest more easily.
BusinessWeek August 30, 2004 Amy Borrus	Brokers Aren't Advisers The line between brokers and advisers was clear for decades. But in 1999, the Securities & Exchange Commission blurred that line. Now, to protect investors, the SEC must redraw a clear line.
Registered Rep. October 1, 2004 Will Leitch	The Rep's Ugly Friend As the industry continues its inexorable march toward "wealth management," advisors have had to add new tools to their workbenches. Among all of them, reps seem to have the most trouble getting comfortable with life insurance.