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Wall Street & Technology
September 23, 2005 |
Keeping Tabs David Kornblau joined Merrill Lynch as head of regulatory affairs... Northern Trust appointed former SVP Connie Lindsey group head of the public entities and institutions market segment ... etc.   |
Wall Street & Technology
June 29, 2005
Maria Santos |
Thomsen Replaces Cutler at SEC Enforcement Head The SEC named Linda Chatman Thomsen director of the division of enforcement. Thomsen joined the SEC in 1995 and has served as the enforcement division's deputy director since 2002. |
CFO
February 1, 2003
Tim Reason |
Prove It The SEC's new policy is to target audit firms, not only individual accountants. |
Registered Rep.
May 1, 2005 |
Comings & Goings Roland Pritchett, one of Morgan Stanley's top producers... H&R Block Financial Advisors has added two more names... Ned Kennedy left Banc of America Securities... Lincoln Financial Distributors has hired two new divisional sales managers... etc. |
Registered Rep.
June 3, 2009
David Geracioti |
ARS Games -- SEC Blames Firms, Settles with BAC, RBC and DEUTSCHE When the auction rate securities market froze up in February 2008, angry clients blamed their financial advisors. |
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. |
Investment Advisor
February 2009
Melanie Waddell |
Mary Schapiro's Priorities Mary Schapiro tells the Senate Banking Committee what her priorities will be at the SEC. |
Investment Advisor
August 2009 |
B/D News Broker/Dealer news: SEC Enforcement... BOA and broker protocol... FINRA surveys retail sales practices... |
Registered Rep.
October 1, 2005
John Churchill |
Regulation With a Smile The SEC ranked fifth in a federal government study titled "2005 Best Places to Work." |
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? |
Investment Advisor
November 2009
Melanie Waddell |
SEC Sets Out Strategic Plan The Securities and Exchange Commission publishes its Draft Strategic Plan outlining the Commission's strategic goals for 2010 through 2015. |
On Wall Street
October 1, 2009
Thomas O. Gorman |
SEC v. Bank of America: Where to Go From Here? The SEC thought it had completed an investigation, brought an enforcement action and then settled it. |
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. |
Registered Rep.
May 24, 2006
Kristen French |
Broker Sanctioned for Violation of Patriot Act After nearly a year and a half since the law's passage and after over a dozen brokerage firm audits, the SEC took its first enforcement action against a broker/dealer. Yet, in so doing, the SEC noted that broker/dealers are generally doing a very good job of complying. |
The Motley Fool
March 10, 2004
Selena Maranjian |
Barring Bad Board Directors The SEC is cracking down, but enforcement is a problem. |
Investment Advisor
February 2007
Melanie Waddell |
Watch Out Broker/dealers and RIAs alike should ready themselves for a number of initiatives being worked on by their regulators in the New Year. |
Registered Rep.
May 1, 2008
Halah Touryalai |
Banc Of America Dishes Out $10 Million For Fiduciary Violations Banc of America Investment Services Inc. settles charges that it failed to disclose that it favored mutual funds affiliated with the firm. |
Investment Advisor
May 1, 2011 |
More Than Kin, Less Than Kind Legitimate questions raised by Republicans should be answered. The problem is that the incestuous relationship the SEC has with the industry does not allow a frank discussion of what regulatory reform means to the consumer for fear of criticizing the industry's current state. |
Registered Rep.
March 15, 2006
Kevin Burke |
Merrill Fined $2.5 Million Over Lax Email Oversight The SEC slapped the nation's largest brokerage with a $2.5 million fine and a cease-and-desist order for a "systemic" mishandling of email records related to its brokerage business. |
The Motley Fool
November 11, 2011
John Reeves |
Banks Promise Not to Commit Fraud ... Until Next Time Banks have been signing pledges that they do not follow through on. |
Registered Rep.
April 6, 2005
John Churchill |
SEC Adopts Broker-Dealer Exemption Over the vociferous objections of fee-only financial planners, the SEC voted unanimously to permanently adopt the broker/dealer exemption rule, formerly known as the Merrill Lynch exemption. |
Investment Advisor
June 2009
Melanie Waddell |
Danger & Opportunity: Obama and SEC Enforcement Under Microscope As the Obama Administration was ringing in its first 100 days in office in early May, the Securities and Exchange Commission's enforcement division was awaiting a much-needed $40 million cash infusion that Congress promised was on its way. |
CFO
March 1, 2004
Kris Frieswick |
Bar Hopping Already considered one of the most severe civil penalties for securities violations, officer and director (O/D) bars have been embraced by the Securities and Exchange Commission with a new zeal. |
Registered Rep.
May 10, 2007
Kristen French |
SEC Impostors on the Loose The SEC issued an alert to securities industry firms, warning them to keep an eye out for impostors -- individuals pretending to work for the SEC. |
Investment Advisor
July 2010
Melanie Waddell |
A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward. |
CFO
November 1, 2009
Alix Stuart |
An Agency Ready to Roar? The SEC under new chief Mary Schapiro has gotten off to a slow start on the enforcement front, but attorneys expect a burst of energy in 2010. |
Registered Rep.
February 1, 2005
John Churchill |
A Monster Issue Will the SEC withdraw the Broker-Dealer Exemption, causing reps to back away from adviser status? If so, the impact could cause substantial disruption in the markets. |
Registered Rep.
April 26, 2005
Kristen French |
A Pawn Takes the Queen Charles Elliott scores one for the "little guy," and proves that sometimes it pays for a broker to take on securities regulators, despite their financial and legal heft. |
Investment Advisor
April 2009
Melanie Waddell |
All About Enforcement It's seems a daily occurrence now that the Securities and Exchange Commission levies an enforcement action against a financial services firm |
Investment Advisor
September 2009 |
Broker/Dealer News Actions by the SEC and FINRA |
Registered Rep.
April 26, 2007
John Churchill |
To Appeal or Not to Appeal? SEC Feels Heat Over Pro-FPA Court Ruling The SEC is feeling lobbyist pressure from both sides as it prepares to either appeal or let stand the ruling by a Federal Court of Appeals that vacated the "Merrill Lynch" rule. |
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. |
Registered Rep.
April 8, 2005
John Churchill |
`Merrill Rule' Debate Not Over The SEC unanimously voted to allow Series 7 holders, or registered reps, to position themselves as financial advisors -- with certain caveats. But once again the SEC seemed to hedge its bet. So the debate rages on. |
CFO
January 30, 2004
Tim Reason |
Cheese It, the States! Corporate wrong-doers are finding state cops more aggressive than the feds. |
Investment Advisor
July 2008
Melanie Waddell |
SEC Chairmen of Yore Speak Six former SEC chairmen pointed to quite a few regulatory challenges that loom large -- namely globalization of the world markets, the burgeoning market for complex synthetic securities, and the continued growth of hedge funds. |
Registered Rep.
May 14, 2007
John Churchill |
"Merrill Lynch" Rule Dead, But SEC to Ask for Time The securities industry still hopes that the SEC will somehow come up with a new plan to keep the fee-based brokerage account from coverage by the Investment Advisers Act of 1940, which mandates that to offer financial advice, you have to be a fiduciary. |
Investment Advisor
August 2010
Melanie Waddell |
Washington Watch: Financial Services Reform Finalized SEC gets fiduciary powers, but lack of self funding may pose trouble |
BusinessWeek
March 21, 2005
Amy Borrus |
Wall Street's Dirty Rotten Little Scoundrels The SEC has a new plan to turn up the heat on small-time Wall Street fraudsters. |
CFO
June 1, 2009
Reason & Stuart |
Crackdown Alert After a GAO report documents a slowdown in the SEC's case generation and penalty volume under former chairman Christopher Cox, the regulator's new leaders talk tough. |
Investment Advisor
August 2009
Melanie Waddell |
Congress Presses Schapiro to Protect Investors While members of Congress praised SEC Chairman Schapiro for acting quickly to institute changes at the agency, lawmakers said more work needs to be done to protect investors. |
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. |
Investment Advisor
November 2009
Melanie Waddell |
Danger & Opportunity: Healthcare, Financial Services Reform Making Headway Two of the Obama Administration's top priorities to accomplish by year-end -- healthcare and financial services reform -- are well on their way to fruition. |
Investment Advisor
August 2010
Melanie Waddell |
Advice to the SEC When it comes to the fiduciary standard, Capital Analysts President and CEO Matt Lynch says advisors "want to be sure the SEC seeks and gathers input from the industry as to how to implement these important changes." |
Registered Rep.
September 1, 2005
Karen Donovan |
Under Siege Executives of broker/dealer firms are not exaggerating when they say it seems like regulators are locked into a competitive battle to collect the most pelts on Wall Street. |
The Motley Fool
April 2, 2004
Shannon Zimmerman |
SEC: Toothless No More? Is the SEC getting serious about fund industry reform? |
The Motley Fool
March 24, 2009
Smith & Bleeker |
Who's More to Blame: Congress or the SEC? March Stock Madness -- Second Round: Let's bullet-point some of the failures of both Congress and the SEC to determine which is more to blame for the current crisis. |
InternetNews
March 9, 2007
Clint Boulton |
SEC Cracking Down on Spam 'Pump and Dump' The SEC has suspended securities trading of 35 companies as part of a new crackdown on market manipulation via spam. |
Investment Advisor
March 2009
Melanie Waddell |
Reform Is on the Way SEC Chairwoman Mary Schapiro is laying the groundwork for a significantly beefed up enforcement division at the Commission. |
Financial Planning
July 1, 2007
Jane Worthington |
Compliance Use these rules to help you survive an SEC inspection. |
CFO
April 1, 2005
Tim Reason |
The Limits of Mercy The cost of cooperating with the SEC is high. The cost of not cooperating is even higher. Faced with financial penalties, career-ending bans, and possible criminal prosecution, more individuals are choosing to fight the SEC. |
