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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.
April 1, 2006 |
Mudslinger Stains Q: I've been a broker for 22 years and worked for two of the largest brokerage firms in the world. Several years ago, I received a phone call from a long-standing client, who'd received something strange in the mail... A: Document what is taking place... etc. |
On Wall Street
April 1, 2011
Alan J. Foxman |
The Whole Truth Advisor Q&A: Disclosure of conflicts of interest... Clients testimonials as advertising... Advisor representatives and outside business activities... Form ADV on a CD... Qualifications needed on Form ADV... |
Registered Rep.
May 1, 2006
Bill Singer |
Writing the Firm's Bible If NASD Rule 3010, which governs Written Supervisory Procedures, is so important a rule, how about free classes to ensure that the public is fully protected and the industry suitably trained, instead of the mercenary $1,000.00 seminar currently offered? |
On Wall Street
March 1, 2010
Mark Astarita |
Advisors Allowed To Get Social Some firms will continue to ban social media, while others will use the necessary software to allow it-just don't make a recommendation on one of the sites. |
The Motley Fool
July 8, 2004
Seth Jayson |
Your Email Up for Grabs? An odd court decision could let just about anyone read your email, with no fear of punishment. If email providers, and the government, can follow the letter of this ruling, say goodbye to email privacy altogether. |
Job Journal
May 2, 2010
Penelope Trunk |
Brazen Careerist: Rethink Your Reliance on Email In our Web-driven world of personal interaction, is email outdated? |
AskMen.com
Eric Santos |
Mastering Email The truth of the matter is, being good at email is an important skill to have. |
Registered Rep.
April 1, 2005
Bill Singer |
Two-Tiered Justice? A recent SEC report shows that the NASD is far less enthusiastic about policing itself --- despite the fact that such self-regulation is part of its charter. |
Registered Rep.
February 1, 2005 |
Blotter Banc One Is No. 1 -- in Fine Size... Fleecing the Flock... Morgan Gets a Slap... |
Fast Company
June 2006
Caroline Wilbert |
Get Out of the In Crowd Michael Linenberger, author of Total Workday Control, offers advice on how to avoid drowning in email. |
Investment Advisor
April 2007
Kara P. Stapleton |
A Compliance Culture Recent NASD actions have led to increased compliance efforts on the part of many independent broker-dealers. |
Fast Company
April 2004
Ryan Underwood |
Office Handbook In the course of your work, you will have to communicate via electronic mail (email). In doing so, please adhere to the following guidelines. |
Financial Planning
December 1, 2006
Lynn Hume |
The Bond Buyer As the popularity of 529 plans has grown, federal regulators have worried that unwitting consumers may be unaware of the state-tax benefits offered by their in-state plans. |
Financial Advisor
June 2006
Tracey Longo |
Is Any Stone Unturned? Is the NASD's regulatory clampdown over? Major changes are in place at the sales force level. |
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
October 1, 2006
John E. Gebauer |
Your Mailbox Is Full For investment advisors, the regulations for email retention remain murky, but applying some best practices can help. |
Financial Planning
March 1, 2007
Glenn G. Kautt |
SEC Audit, Part Deux An SEC audit is like a visit to the dentist: The anticipation is scarier than the actual event, but a little pain is inescapable. Here is a recount from a financial planning firm's chief compliance officer of his recent audit experience. |
Financial Planning
April 1, 2006
Keith Marks |
Compliance Tips: Dinner and Broken Promises Now investment firms seek to address risk, meet regulatory expectations, and avoid the next big scandal by monitoring communications. |
Registered Rep.
September 1, 2004
Anne Field |
The Weight of Words It's a paradox confronting brokers all over the country: In a business climate that calls for ever-increasing advisor-client intimacy, financial professionals are measuring their words more carefully than ever. |
The Motley Fool
March 19, 2004
Selena Maranjian |
Stop Junk Mail, Calls, and Spam Why tolerate direct marketers? Here are a few tips to lessen irksome calls and emails. |
Investment Advisor
March 2007
Kara P. Stapleton |
News & Products National Financial announced February 1 that it is expanding its alliance program... NASD has warned older Americans about the potential downside of selling their existing life insurance polices... The SEC has authorized improvements to the NASD... etc. |
Registered Rep.
May 1, 2004
Bill Singer |
It's Your Call Always Far too many reps are learning the hard way how little responsibility clients shoulder when it comes to assessing the suitability of their investments. |
Financial Advisor
January 2012
Brian Hamburger |
Who Will Start The Revolution? Big firms give "Big Brother" nod to social media. |
Registered Rep.
March 12, 2007
John Churchill |
NYSE/NASD Merger Attracting Lawsuits A California broker/dealer who has sued to stop the merger of the NYSE and the NASD is looking for like-minded folks to join its cause. |
Fast Company
February 1, 2008
Cora Daniels |
Fast Talk: Clean-Up Hitter Quote: Stanley Crosley; Chief Privacy Officer, Eli Lilly. |
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? |
AFP eWire
January 29, 2007 |
Direct Mail Still Strong, Especially With Women Despite the rise of website, email and other electronically based advertisements, printed direct-mail marketing pieces are still widely read, especially by women ages 25 to 44, according to new survey. |
Registered Rep.
January 1, 2005
Jennifer Woods Burke |
Not in My Name Under limited circumstances, NASD Rule 2130 allows registered representatives to erase histories of disputes with customers from the CRD system. |
AFP eWire
December 6, 2004 |
Email Solicitations Still Evolving in Higher Education Only half of higher education institutions are using email as a fundraising tool, and there is a wide disparity in how the technology is being employed, according to a new survey by the Council for Advancement and Support of Education (CASE). |
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. |
InternetNews
April 26, 2004
Paul Shread |
LSI Joins the Email Party LSI Logic Storage Systems has rolled out its first email product, a LogicStor email management solution for Microsoft Exchange. |
Fast Company
July 1, 2007
Doug Beizer |
Email Is Dead ... But communication isn't. Reuters, Capital One, and Union Bank reclaim productivity by rethinking the inbox. |
Registered Rep.
November 1, 2006
Bill Singer |
Secret Agreements with Clients Can Backfire Developing NASD enforcement trends: NASD Conduct Rule 2330: Customers' Securities or Funds... NASD Conduct Rule 2370: Borrowing From or Lending to Customers... etc. |
AskMen.com
September 15, 2015
Eric Santos |
Sending Great Cold Emails There are plenty of other channels and methods that can be used to acquire customers more effectively, however cold emails can work for you if you do them correctly. |
Financial Planning
September 1, 2006
Marianne Czernin |
Compliance Tips Your Ongoing Commitment to the NASD: It's important to know that as a registered rep currently employed by a broker-dealer, your obligations to the NASD do not cease should you quit and decide to become a carpenter, congressman or pirate. |
Registered Rep.
March 15, 2011
Bill Singer |
Street Legal: FINRA's Decision on a Financial Advisors' Tweets Is a Lesson for All According to a recent Financial Industry Regulatory Authority settlement, registered persons may need to reconsider some activities that go on outside of work. |
Bank Technology News
January 2007
Holly Sraeel |
When Using World's Best Marketing Tool, Show Restraint The relentless deluge of spam and the wide media coverage of phishing and identity fraud have turned off many consumers, taking the wind out of marketers' sails. |
Financial Planning
October 1, 2008
Deena Katz |
Reining in Email There is probably nothing more problematic in our professional lives today than our ability to use and abuse email. |
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. |
Registered Rep.
June 1, 2006
Bill Singer |
Working Conflict When considering taking an outside job, registered reps must adhere to NASD rule 3030, Outside Business Activities of an Associated Person. Here's a recap of the guidelines. |
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. |
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.
June 1, 2008
Bill Singer |
You've Got Mail Amidst industry demands for clarity, FINRA recently published Regulatory Notice 07-49: Supervision of Electronic Communications. Read on for more details. |
CRM
April 1, 2004
David Myron |
BPO News & Insight: Email Tuesdays A new report says the most popular day to send an email marketing blast is Tuesday. |
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. |
CRM
March 2010
Christopher Musico |
Email Management You've Got Mail: Despite fits and starts, many still believe email management solutions can deliver on their promise. |
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. |
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.
January 16, 2004
John Churchill |
NASD Charges Waddell & Reed With Violations The NASD Wednesday slapped Waddell & Reed with more than 6,700 complaints, charging that the firm systematically encouraged brokers to recommend unsuitable variable annuity exchanges to its customers. |
