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Investment Advisor November 17, 2010 Thomas D. Giachetti	Will You Stay SEC Registered in 2011? Regulatory changes could cause confusion for advisors
Investment Advisor April 1, 2011 Thomas D. Giachetti	Dodd-Frank: An Overview Of Pending Changes For Investment Advisors Dodd-Frank deadlines are fast approaching. Are you ready?
Investment Advisor June 1, 2011 Thomas D. Giachetti	From Deadlines to Lifelines The SEC extension of registration deadlines provides a potential grace period for stressed out advisors.
Investment Advisor March 2006 Melanie Waddell	Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away.
Investment Advisor August 2010 Melanie Waddell	Will the States Be Able to Regulate Big RIAs? State regulators and the Securities and Exchange Commission (SEC) will meet soon to iron out the details of shifting nearly 4,000 advisors from federal to state supervision.
On Wall Street March 1, 2012 Alan J. Foxman	Regulators Redefine Assets Advisor Q&A: Do I have discretionary authority with my clients?... Do we now count the variable annuities sub-accounts?...
Investment Advisor August 2006 Melanie Waddell	The Playing Field: Will the SEC Appeal? Hedge fund advisor registration has been an extremely contentious issue. Some feel there will be grave consequences for the SEC and the investing public should the House bill requiring registration be shot down.
Registered Rep. June 29, 2010 Halah Touryalai	The New Sheriffs In Town The SEC examines about 9 percent of the 11,000 or so advisory firms under its jurisdiction annually. All of that is about to change with a little help from regulators at the state level.
Investment Advisor September 2007 Melanie Waddell	Hedge Funds Continue to Deregister During the past year, 732 hedge fund advisors have deregistered, according to the Investment Adviser Association and National Regulatory Services seventh annual report, Evolution/Revolution, which profiles the advisor profession.
Financial Planning March 1, 2013 Kenneth Corbin	SEC Registration Deadline Looms As annual registration nears, compliance experts warn RIAs to be cautious about their numbers.
Financial Advisor November 2010 David Lawrence	Back In The Fold? Will the new regulations force independents to return to broker-dealers?
Investment Advisor May 2010 David Tittsworth	What a Reinvigorated SEC Will Mean for You The first in a series of occasional commentaries by the executive director of the Investment Adviser Association.
Financial Planning June 1, 2010 Brian Hamburger	Going for Custody As of March 12, new rules for RIAs require special (and expensive) reports and audits for custodial accounts. Are you ready?
On Wall Street December 1, 2010 Alan J. Foxman	When FINRA Intervenes Even non-member firms (such as registered investment advisors) can voluntarily agree to use either FINRA's arbitration or mediation services.
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?
Financial Planning October 1, 2010 Brian Hamburger	Regulation Season A look forward at the real effects of regulatory change - and they could be as unattractive as they are expensive.
Registered Rep. June 1, 2007	The Great Re-Sell How will registered reps re-position themselves with clients who have fee-based brokerage accounts?
Investment Advisor August 2005 Thomas D. Giachetti	Come Right In Here are some issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners.
Investment Advisor April 11, 2011 Melanie Waddell	SEC to Meet Dodd-Frank's July Deadline on 'Switch,' Private Fund, Venture Fund Advisors While final rules will be out by July 21, SEC will give advisors more time to comply
Financial Advisor March 2005 Tracey Longo	The Watchdog Inside Your Firm The SEC is making your chief compliance officer a whistleblower. Advisors' success with regulators in 2005 will depend largely on whether they trip themselves up or are able to create a business model that is better aligned with their clients.
Investment Advisor May 1, 2011 Melanie Waddell, AdvisorOne	Fair Play: The Fight Over Rule 206(4)-5 Advisors are confused -- and angry -- over the SEC's new pay-to-play rule
Investment Advisor May 2008 Melanie Waddell	Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers.
Investment Advisor October 2007 Kara P. Stapleton	Slight Growth in RIAs The universe of registered investment advisors grew only slightly during the past year.
Financial Planning March 1, 2011 Donald B. Trone	All for One... A uniform fiduciary standard of conduct, coupled with harmonized regulations, should dramatically improve the process for investors.
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. 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.
Financial Advisor June 2007 Sherri Scordo	Indepedent Broker-Dealers/Financial Advisor's 2007 Snapshot of Leading Firms Advantage Capital Corporation... AIG Financial Advisors... American General Securities, Inc... etc.
Registered Rep. March 14, 2012 Jerry Gleeson	The Long Goodbye This year, about 3,200 mid-sized RIAs will say goodbye to the Securities and Exchange Commission, transferring their registration to the states where they do business.
Registered Rep. July 12, 2011 Charles Paikert	Family Office Quandary May Benefit Wealth Managers For single-family offices, a recent Securities and Exchange Commission ruling marked the beginning of an identity crisis writ large -- one that will reshape the family office business and may ultimately benefit wealth and asset managers.
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 January 1, 2007 Mike Suppappola	Compliance Tips Solicitation agreements have been around for decades. These relationships present myriad compliance issues, and advisors should keep in mind the following regulatory requirements.
Registered Rep. August 1, 2006 Kristen French	The More Things Change Despite the big push for millionaire clients throughout the industry in recent years, average annual revenue per financial advisor for all firms has remained relatively constant.
Investment Advisor December 2007 Thomas D. Giachetti	Use Them, but Carefully By all means, place arbitration clauses in IA contracts, but do it right.
Investment Advisor November 2006 Thomas D. Giachetti	Defining Fiduciary What is a financial advisor's true fiduciary duty?
Investment Advisor September 2006 Jeff Joseph	Hedge Fund Focus: RIAs Turning to Alternatives A more hands-on approach to investments is being taken by registered investment advisors, including the use of alternative products, according to a new survey.
Registered Rep. July 24, 2007 John Churchill	SEC to RIAs: Welcome In keeping with regulators trying to be more proactive and less reactive, the SEC is cozying up to newly registered investment advisers.
Investment Advisor January 1, 2011 Melanie Waddell	FINRA Jockeys for SRO Spot as SEC Report to Congress Nears The Financial Industry Regulatory Authority is engaged in a full-court press to convince the SEC that it should be the SRO for advisors.
On Wall Street February 1, 2011	Five Questions With David Massey The deputy securities administrator for the state of North Carolina, began a one-year term as president of the North American Securities Administrators Association in September.
Investment Advisor March 2006 Melanie Waddell	The Playing Field: Here, There and Everywhere Dually registered advisors (advisors who are registered with both the SEC and the NASD, and are collecting both fees and commissions) have the best -- and worst -- of both worlds. However, a new study shows when implemented properly, the hybrid model can be very profitable.
Investment Advisor July 2006 Thomas D. Giachetti, esq.	Expert's Corner: Passing Muster Is your electronic record keeping up to SEC snuff? Financial advisors should exercise discretion and diligence regarding electronic record retention and communication procedures. When in doubt, retain the hard copy original or make a phone call.
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.
Registered Rep. May 9, 2011 Gleeson & Britton	New SEC Disclosure Rules Dismay Some Advisors; Advisor Disciplinary Histories in Welcome Packets New SEC rules that require federally-registered advisors to disclose their disciplinary histories in brochures and provide them to clients will get under way in earnest by the end of the summer.
Investment Advisor March 1, 2011 Melanie Waddell	SEC Fiduciary Rule May Hit by Summer Despite the advisory industry's hopes that the Securities and Exchange Commission would get a quick start on writing a rule to put brokers under the same fiduciary standard as advisors, it looks as though a rulemaking could come by summer.
Registered Rep. July 8, 2015 Jerry Gleeson	The New Sheriffs In 2012, more than 2,000 RIA firms who had only known the regulatory scrutiny of the Securities and Exchange Commission were transitioned over to the Wild West of state securities regulators.
Investment Advisor October 2010 Thomas D. Giachetti	Custody: Why You May Actually Have It Advisors responsibilities have changed under the SEC's new custody rule.
AskMen.com December 9, 2001 Rashmikant Patel	Trusting Your Advisor Many of us are looking back at our investments over the last couple of years, and blaming our advisors for the less than stellar performance. It all comes down to one issue: do you trust your financial advisor?
Investment Advisor March 2007 Melanie Waddell	States' Rights The North American Securities Administrators Association's agenda includes preserving state regulators' authority.
Financial Planning September 1, 2006 David Spinar	Even the Playing Field Congress needs to standardize the regulations for investment advisors and broker-dealers.
Investment Advisor July 2010 Melanie Waddell	A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.
Investment Advisor February 2008 Thomas D. Giachetti	Is an IPS the Answer? Investment Policy Statements can be helpful, but remember, longer documents aren't always better.