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Investment Advisor
February 2008 |
How Active is Your Fund Manager? Download a copy of the paper How Active Is Your Fund Manager? A New Measure That Predicts Performance, here.   |
Investment Advisor
October 2006
Savita Iyer |
Seeking Liquidity Is the life settlement business ready to take off? It depends on whether consumers are willing to accept the fact that life insurance policies can be used for purposes other than what they were originally purchased for. |
Registered Rep.
December 1, 2006
Janet Arrowood |
Life Settlements: Bad Rap, Good Business Regulatory attention to life settlements has intensified as they have taken off in the past few years, and more lawsuits are expected. Despite the bad rap, there are some legitimate and valuable uses of life settlements for advisors and their clients. |
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. |
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. |
Registered Rep.
June 1, 2005
Will Leitch |
Edwards Weighing How to Settle A.G. Edwards is ready to talk about paying for its transgressions in the sale of Class B and Class C mutual fund shares. |
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. |
BusinessWeek
July 30, 2007
Matthew Goldstein |
Even The Insurers Have Hopped On Board Most insurers also realize life settlements aren't going away -- and so they're getting into the game. By sinking money into the sector, insurers can get back at least some of the money they now have to pay out in death benefits. |
Financial Planning
June 1, 2007
David Thetford |
Compliance Tips VA Due Diligence: Rising popularity and complexity have made variable annuities a target for the SEC and NASD. |
OCC Bulletin
January 4, 2002 |
Bank Secrecy Act/Anti-Money Laundering Interim Guidance on Compliance with the USA PATRIOT Act... |
The Motley Fool
February 21, 2007
Mary Dalrymple |
Life Settlements Laid Out Understand this new marketplace before considering selling your life insurance. |
Registered Rep.
August 26, 2003
Will Leitch |
NASD Sets Guidelines On Giving Money Back The Joint NASD/industry task force released its study on breakpoints last month, confirming that millions are owed to clients by firms for not applying discounts on breakpoints. The NASD is now making sure the firms know exactly how to rectify the situation. |
On Wall Street
September 1, 2008
Donna Mitchell |
FINRA Seeks to Clarify Rule Mishmash Regulators are taking action regarding what they view as abuse in the way that variable annuity products are sometimes marketed and sold. The latest proposal will codify various practices for marketing variable annuity products. |
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. |
Registered Rep.
April 1, 2005
Will Leitch |
Elder Abuse, Advisor Style The NASD says it will propose "significant" regulatory changes to the way variable annuities are sold, claiming elderly clients are being "scared" into investing in products against their best interests. |
Search Engine Watch
May 5, 2010
Kevin Gibbons |
How to Collect Data Without Alienating Clients What's best practice for gathering information from visitors to your site and how can you then use that data to your commercial advantage without alienating them? |
Investment Advisor
November 2009
Marlene Y. Satter |
Insurance Update: Bonds. Death Bonds. Securitizing life insurance is Wall Street's latest idea. But is it really so new? |
Financial Planning
August 1, 2008
Donald Jay Korn |
You Bet Your Life Financial planning clients that no longer want to pay premiums for life insurance traditionally stopping premium payments or surrendered the policy to receive any cash value. Recently, yet another path to liquidity has opened: life settlements. |
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.
April 1, 2007
Bill Singer |
Clarence Darrow, You're Not Beware of water-cooler know-it-alls when it comes to legal advice regarding NASD violation issues. |
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.
June 1, 2005
Matt Barthel |
What 3012 Hath Wrought When the NASD released follow-up guidance on Conduct Rule 3012, it aimed to clarify how member firms must supervise the personal business of producing branch managers. Unfortunately, many firms remain confused about the rule's requirements. |
Investment Advisor
June 2006
Elizabeth Festa |
B/d Briefing: Regulating Annuity Sales The NASD is taking steps to assess oversight of the sales of all types of annuities by the patchwork quilt of regulatory agencies overseeing the products and move toward a level playing field of regulation without formulating any new rulemaking of its own. |
Registered Rep.
April 1, 2005
Richard A. Roth |
Keep It Dark Though one function of the NASD is to police its member firms and protect investors, another of its functions is to provide a fair and just arbitration forum for dispute resolution. The NASD should protect the sanctity of the process by ensuring that all parties are treated equally and fairly. |
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. |
Financial Advisor
April 2006
Bruce W. Fraser |
Cashing In On Cashing Out Despite the potential for abuse, life settlements (selling life insurance policies early) is a growing industry and may be a viable option for insured seniors and advisors alike -- under the right circumstances. |
The Motley Fool
December 21, 2006
Dan Caplinger |
Should You Take a Viatical Settlement? Although finances may be a difficult subject to handle during a personal health crisis, taking a viatical settlement may make a big difference in the quality of care that one gets and can take at least one worry away from family members. |
The Motley Fool
October 19, 2006
S.J. Caplan |
When Brokers Break the Rules Investors do have some recourse if they feel they've been duped, and that recourse is on sale this month. |
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. |
OCC Bulletin
April 21, 2006 |
Guidance for Filing Notices of Proposed Class Action Settlements New notification requirements apply to a wide range of federal and state depository institutions, and entities thereof, that are defendants in proposed class action settlements. |
OCC Bulletin
August 27, 2003 |
Proposed Guidance and Notice of Information Collection Interagency guidance on response programs for unauthorized access to customer information and customer notice |
The Motley Fool
October 10, 2007
Dan Caplinger |
The Worst of Both Worlds Low returns and inflexible investments have made whole life insurance obsolete. Before you buy whole life, take a look at your other options, odds are, you'll find one that's better for you. |
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. |
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. |
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.
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... |
OCC Bulletin
July 29, 2004 |
Fair Credit Reporting Act Final Rule: Model Notices for Furnishing Negative Information. |
The Motley Fool
May 23, 2007
Selena Maranjian |
Brokerage-Related Warnings There's a lot of information for investors at the NASD website. Here are a few topics about which it has recently issued alerts. |
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.
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. |
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. |
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... |
IndustryWeek
June 1, 2005
John S. McClenahen |
Financials -- Guiding Less The percentage of companies providing earnings guidance is declining. |
National Real Estate Investor
July 1, 2006
Gary Thompson |
Property Insurers Put to the Test Insurers may circle like sharks, sensing the opportunity to blunt their obligations. But there is nothing about the sale of a property that provides an insurer with the opportunity to sidestep its duty to pay. Policyholders should insist that insurers adhere to their obligations. |
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.
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. |
BusinessWeek
July 30, 2007
Matthew Goldstein |
Life Settlements: Betting on Death From the Lowinger clan to hedge funds, investors are cashing in on the business of trading unwanted life insurance policies. But buyers should be wary. |
Job Journal
July 6, 2008
Michael Kinsman |
Career Pros: Given Respect, Workers Thrive The secret to getting maximum effort from employees? R.E.S.P.E.C.T |
InternetNews
November 17, 2010 |
Google Lashes Out Against Web Censorship In the wake of a high-profile standoff with the Chinese government, Google is now mounting a free-trade argument against countries that restrict access to online content. |
Registered Rep.
November 1, 2002
Ross Tucker |
NASD Wants to OK Use of Predictive Tools by Brokers NASD member firms want to revise the association's Rule 2210 to make sure that they, too, can use these tools, including Monte Carlo simulations, to help clients make investment decisions. |
