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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?
Wall Street & Technology January 6, 2006 Ivy Schmerken	Everything's Coming Up Hybrid Will a joint NYSE - NASD regulator result in the $100 million-a-year savings that the NASD is proposing in the hybrid regulation of dual member firms?
Registered Rep. February 1, 2006 John Churchill	Schapiro in, Glauber Out at NASD in 2007 Mary Schapiro, head of NASD Regulatory Policy and Oversight, will be taking over for Robert Glauber as chairman of the NASD at the end of the year. One tough cop replaces another.
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. December 15, 2005 John Churchill	Court to NASD: You Don't Have a Leg to Stand On For the first time in its 68 years as a self-regulatory organization, the National Association of Securities Dealers sued the Securities and Exchange Commission over a right it was never granted. Guess what? It lost.
The Motley Fool November 29, 2006 S.J. Caplan	There's a New Sheriff Coming to Town The NASD and NYSE are to consolidate regulatory functions.
Registered Rep. February 1, 2005	Blotter Banc One Is No. 1 -- in Fine Size... Fleecing the Flock... Morgan Gets a Slap...
Financial Planning February 1, 2005 Steven K. McGinnis	Must SROs Go? A new SEC proposal to separate trading functions from regulatory activities at the exchanges could have far-reaching effects.
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.
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.
Registered Rep. January 12, 2006 John Churchill	Schapiro in for Glauber at NASD 2007 The NASD Board of Governors announced today that Mary Schapiro, currently the self-regulator's head of Regulatory Policy and Oversight, will become the NASD's chairwoman when the term of its current chief ends in December 2006.
Registered Rep. March 1, 2007	Blotter SEC Front Running Probe... NASD Fines Bank of America...
Financial Advisor June 2004 Tracey Longo	Compliance Overload A white-hot regulatory agenda is bedeviling independent broker-dealers in the U.S.
Registered Rep. February 1, 2006 John Churchill	Size-ism? Ten years after the formation of the Small Firms Advisory Board, many small firms say they are still getting pushed around by bigger firms -- and this time the NASD is taking the side of the bullies.
Registered Rep. May 1, 2005	Blotter Not-So-Hot IPO: The NASD fined Thomas Weisel Partners for levying exorbitant commission charges on "hot" IPO shares... Expelled, Reinstated, Expelled: Brokerage firm LH Ross was officially expelled from the securities industry and fined... etc.
Registered Rep. July 1, 2004 Bill Singer	Alone In a Crowd Registered reps cannot count on their firms or the regulators to look out for them. Indeed, there's an argument to be made that these institutions cannot be relied upon to use common sense.
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. February 11, 2004 John Churchill	Dueling Trend Lines on Complaints Brokers have become more attuned to investor complaints in recent years, but they must be forgiven if they're having a hard time drawing conclusions from the trend numbers reported by regulators.
Registered Rep. July 30, 2007 Halah Touryalai	FINRA Sticks as SEC Approves Regulator Consolidation After some minor bumps along the way, the NASD and NYSE merger is official.
Registered Rep. December 1, 2006 Bill Singer	The Guessing Game If the NASD wishes to dispel the notion that it is biased against smaller members, then it should adopt the NYSE's policy. Unless, of course, it has something to hide.
Registered Rep. March 1, 2007 Bill Singer	Don't Mess with Suspension Rules If you are like most working people, you go to the office every day. And, if you like your job, it can even be hard to stay away. But if you are a financial advisor and get a suspension from the NASD, don't give in to temptation. Stay away. Go on vacation.
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.
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?
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. June 1, 2005 Karen Donovan	No More Slap on the Wrist Regulators are getting tough and creative on registered reps because they suspect that fines aren't a strong enough deterrent to stop illegal behavior.
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.
Investment Advisor December 2006 Kathleen M. McBride	Three-Part Harmony Financial advisors, sing along as the SEC is set to look at proposals for regulatory rules that have been harmonized in an attempt to eliminate, or greatly reduce, conflicts, duplication, and confusion, in a new hybrid set of rules.
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.
Registered Rep. September 1, 2005 Karen Jones	Regulate Thyself (Better) Further complicating the debate over the self-regulatory organization (SRO) structure are the NYSE's planned demutalization and merger with Archipelago Holdings and Nasdaq's planned merger with Instinet Group. How will these moves affect their role as policemen of brokers?
Registered Rep. August 20, 2004	Meting out Justice: NASD Issues 'Extraordinary Remedy' on Broker/Dealer for Market-Timing Abuse In its investigation, the regulator found that from January 2001 through August 2002, National helped four hedge fund clients conduct market-timing in 13 funds that prohibited or restricted such activity.
Financial Advisor April 2004 Tracey Longo	Wanted: Real Disclosure Rules on brokers compensation disclosure are changing---but slowly.
Registered Rep. November 1, 2005	Supplemental Inquiry Q: Is there any way my employer can find out if I receive W-2 income from other sources... Q: Recently at a social event, a co-worker's client told me another local broker (who is a competitor) had made some disparaging remarks about my co-worker... etc.
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.
Registered Rep. August 17, 2005 Kevin Burke	NASD Tightens Noose on Hedge Fund Sales Practices A top National Association of Security Dealers official said on Wednesday that the regulatory agency has launched an investigation into brokers selling hedge funds to individual investors without alerting them to the potential risks.
Registered Rep. October 25, 2006 Halah Touryalai	Another One Bites the Dust: Broker Fined Record Amount for Market-Timing Scheme The NASD fined Paul Saunders, a registered rep, CEO and majority owner of James River Capital Corporation, $2.25 million. That sum represents the largest fine against an individual for marketing timing, including disgorgement of about $750,000 in illegal profits.
Registered Rep. November 11, 2005 David A. Geracioti	Cox to SIA: No Regulatory Rollback When William Donaldson stepped down as SEC chairman, the perception was that the reform movement had also left the building. But Christopher Cox's first speech to the Securities Industry Association was to the contrary.
Registered Rep. July 1, 2005 Christopher O' Leary	The Fund Family That Said No While in the past few years many funds sued by regulators have been quick to settle, American, the second-largest fund family in the U.S. with $650 billion in assets is fighting back.
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?
Registered Rep. March 10, 2011 Kristen French	SEC Says Bigger Budget Is Supported By BCG Report In testimony before Congress Thursday, SEC Chairman Mary Schapiro made a case for an increase in the agency's funding to $1.407 billion for 2012.
Registered Rep. October 1, 2006 Bill Singer	The Long Arm of NASD A registered rep with Northwestern Mutual Investment Services, helped found the Wisdom Mission Church, of which he was president: The NASD Investigates... SEC Review...
Registered Rep. October 20, 2004 Will Leitch	Tough Talk at SIA Mutual Fund Conference NASD Chairman and CEO Bob Glauber blasted the mutual fund industry for trying to shift the focus of SEC regulation away from the people it was intended to protect: the investors.
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.
Registered Rep. April 29, 2005 Kristen French	Raymond James Fined, Drops Fee-Based Brokerage---Will Others Follow? Following the NASD fine of Raymond James for pushing fee-based accounts on the wrong clients, the next question is how the settlement will affect other firms that offer the same accounts, including wirehouse giants Morgan Stanley, Merrill and Smith Barney.
Registered Rep. December 1, 2006 Kevin Burke	SEC Chairman Endorses Single SRO Now that SEC Chairman Christopher Cox has made creating a single SRO for the brokerage industry a top priority, why are some suddenly wondering if it's a good thing after all?
Registered Rep. September 18, 2007	Cease and Desist Order Looms for NEXT Financial Group The Securities Exchange Commission issued an Order Instituting Cease-and-Desist Proceedings against the independent broker/dealer late last month.
On Wall Street July 1, 2009 Mark Astarita	The SEC's "Feel Good" Committee The Securities and Exchange Commission announces the formation of an Investor Advisory Committee, which it says will give investors a greater voice in its work.
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.
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.
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.
On Wall Street August 1, 2009 Mark Astarita	Changes at the SEC: Schapiro Should Be Benefit to Advisors One can expect that as head of the SEC Mary Schapiro will understand the impact of new rule proposals and enforcement initiatives and will temper the calls for more extreme changes that would ultimately harm the markets and the financial industry.