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Registered Rep.
February 7, 2007
Halah Touryalai |
Alphabet Soup: Massachusetts May Ban Some Advisor Designations Advisors who hold certain obscure professional designations may want to think twice about touting their alleged specialties on their business cards, mailings or other advertisements -- at least in the state of Massachusetts.   |
Registered Rep.
April 1, 2007 |
When Achievement is Bull State regulators are moving to ban certain designations from marketing materials to better protect seniors. Financial advisors using senior designations to con seniors are often caught too late. |
Registered Rep.
August 7, 2007
Kristen French |
Senior Fraud Crackdown Continues The second annual "Seniors Summit" is meant to examine ways in which regulators and other groups can help prevent the overwhelming amount of senior fraud being committed in the securities industry. |
BusinessWeek
February 26, 2007
Lauren Young |
Financial Pedigrees--Or Blarney? A guide to decoding the dizzying array of acronyms on your financial adviser's business card. |
Financial Planning
February 1, 2008
Marianne Czernin |
Compliance In effect now are stricter requirements to protect investors age 65 and over. Advisors, read on to see which areas you need to be vigilant in. |
Financial Planning
August 1, 2008
Donald Jay Korn |
Labels Under Fire Regulators are making it clear that advisors who use the word "senior" or various synonyms to transact business unethically are squarely in their sights. |
Financial Advisor
March 2012
Mike Byrnes |
Massachusetts Addresses Social Media Regulation Results from a July 2011 survey by the Massachusetts Securities Division found a significant growth trend in advisors using social media, but also found compliance deficiencies in existing social media regulations. |
Investment Advisor
October 2007
Melanie Waddell |
Helping the Most Vulnerable Retirees Lawmakers, the Securities and Exchange Commission, and state regulators are bent on making sure advisors with designations touting expertise when it comes to helping seniors, the most vulnerable retirees, are closely scrutinized. |
Financial Planning
December 1, 2006
Jane Worthington |
Compliance Tips As a financial services professional, you should welcome questions from seniors and be prepared to answer them, no matter how basic. |
Registered Rep.
May 1, 2006
Barry Rehfeld |
Alphabet Soup There are ways for reps to become authentic financial advisors, like the courses offered by continuing education groups and it seems that many advisors are, in fact, taking them. With designations proliferating like ragweed, they have come under fire from a number of public officials lately. |
On Wall Street
November 1, 2012 |
Five Questions with Don Blandin The president and CEO of Investor Protection Trust discusses issues facing seniors and the special problems for which advisors should watch, including protecting them against fraud. |
Registered Rep.
June 17, 2009
Christina Mucciolo |
The Fiduciary Battle Continues, Now Under Federal Microscope Among other measures, the Obama administration proposed today that the Securities and Exchange Commission require that broker-dealers offering investment advice be held to the fiduciary standard rather than the suitability standard. |
Investment Advisor
December 2006
Kara Stapleton |
Briefs The Financial Planning Association endorsed a proposed rule... The CFP Board voted to approve changes to its governance policy... |
Registered Rep.
June 30, 2010
Christina Mucciolo |
Clients, though Mostly Satisfied, in the Dark about FA Fees, Says Study Overall advisors and investors are still confused about what the advisors' fiduciary responsibility is exactly. |
Investment Advisor
March 2007
Melanie Waddell |
States' Rights The North American Securities Administrators Association's agenda includes preserving state regulators' authority. |
Financial Advisor
July 2011
Andrew Gluck |
Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance. |
Investment Advisor
December 2007 |
The Certification Advantage Many different designations have been designed to aid advisors in servicing elderly clients correctly. Read on about three common certifications. |
Registered Rep.
March 10, 2010
Jerry Gleeson |
New RIA Custody Rules In Force Friday New rules aimed at preventing registered investment advisors from pulling off ponzi schemes are now in effect. |
Registered Rep.
March 1, 2008
John Churchill |
Fix Advisor Laws! Laws should reflect the fact that the differences between registered reps and registered investment advisors have largely evaporated. |
Financial Advisor
October 2008
Tracey Longo |
Unwanted Scrutiny One of the quickest ways to get regulators' attention these days is to single out retirees and seniors in your advisory firm's marketing initiatives. |
Registered Rep.
June 23, 2011
Diana Britton |
Ladenburg Thalmann Possible Buyer in Securities America Sale Ladenburg Thalmann, parent company of Triad Advisors and Investacorp, has emerged as a potential buyer of Securities America, which Ameriprise Financial announced plans to sell in late April. |
Financial Planning
August 1, 2008
Andrew Ackerman |
In First, Mass. Sues UBS In the first state-level lawsuit against an investment firm over auction-rate securities, Massachusetts has filed securities fraud charges against UBS for selling retail investors auction-rate paper as "liquid, safe, money-market" instruments even though the defendants knew it was not. |
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.
May 5, 2010
Kristen French |
Small B/Ds in A Crunch, Expect More Closures, Mergers In 2010 Squeezed by investor lawsuits, rising compliance and insurance costs, as well as departing advisors and clients, some of the industry's smallest independent broker/dealers are struggling to stay afloat. |
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. |
The Motley Fool
December 14, 2010
Dayana Yochim |
How to Tell Your Advisor's Real Agenda This four-step background check will reveal whether you're about to get sound advice, or advice that just sounds good. |
Registered Rep.
March 28, 2008
David A. Geracioti |
More Trouble In Auction-Rate Securities Land The State of Massachusetts Secretary of State is investigating the sales practices of auction-rate securities, to learn how these securities are presented to individual clients in the state. |
Registered Rep.
September 3, 2008
John Churchill |
Brokers Charged In Fraudulently Selling $1bn Of ARS To Retail Clients In the first case of its kind, the SEC announced today that it has charged two individual financial advisors with fraud related to the sale of more than $1 billion in auction-rate securities. |
Financial Planning
October 1, 2006
Elizabeth O'Brien |
Bookshelf The RIA's Compliance Handbook by Elayne Robertson Demby is a comprehensive guide for registered investment advisors. Readers can earn 20 hours worth of CFP continuing education credits by passing a 35-question exam located in the back of the book. |
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. |
Financial Planning
November 1, 2011
David E. Adler |
The ABCs of Planner Titles Do you know your REBC from your CEBS, your CIMA from your CMA, and your PFS from your RFC? |
Investment Advisor
September 2005
Kathleen M. McBride |
Building a Brilliant Career Larry Barton of The American College offers words of wisdom on how to be a successful financial advisor. |
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. |
On Wall Street
July 1, 2009
Helen Kearney |
The 'F' Word Stirs Up Controversy Advisors who fall under the new fiduciary standard, namely investment advisors who run a fee-based business, must always put clients' interests before of their own. |
Registered Rep.
June 27, 2011
Diana Britton |
The Good, the Bad and the Ugly It seems like every week, another independent broker/dealer goes under or up for sale because of a bad private placement or other problematic alternative investments. All that turmoil has left a pool of advisors out in the cold, looking for new firms to call home. |
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. |
The Motley Fool
March 3, 2004 |
Alphabet Soup of Advisors What are all those fancy acronyms embossed on financial advisors' letterheads? While these designations don't ensure that the person does good work, they do say the person has had some training and experience, and perhaps a lot of it. |
Registered Rep.
November 16, 2012
Jerry Gleeson |
Tardy Advisors Get a Reprieve Mid-sized RIAs who are behind on switching their registration from federal to state jurisdictions now have until Dec. 17 to get caught up. |
The Motley Fool
October 27, 2007
Elizabeth Brokamp |
Making Sense of Financial Credentials Shouldn't you know who's handling your money? |
Financial Planning
February 1, 2012
John F. Wasik |
State of Regulation As states take over regulation of RIAs with up to $100 million in assets under management, many firm owners are wondering if the transition will prove difficult. |
| Financial Advisor |
Frontline News Independent B-Ds Inside... States Gear Up To Examine More Advisors... IRS To Regulate All Tax Preparers... Guggenheim To Buy Security Benefit... RIA M&A Activity Down In '09... Majority Of Advisors See Growth In '10... more... |
Registered Rep.
March 11, 2009
Christina Mucciolo |
Brokers Versus Advisors--SIFMA Wants "Universal," Not Fiduciary, Standard Will the patchwork rules governing the conduct of Series 7 holders and registered investment advisors, a patchwork that confuses the public, finally be sorted out? |
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? |
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 Advisor
October 2007 |
Frontline News Congress Grills "Senior" Advisor Designations... Live Long And Prosper... Fidelity Planning Income Annuity... Mansueto To Receive Award... Fiduciary Network Buys Brightworth Stake... etc. |
The Motley Fool
September 13, 2007
Tim Beyers |
How to Beat a Retirement Scam Here are three tips from a retirement expert on finding a worthwhile money manager, and to prevent yourself or someone you know, from becoming the victim of a retirement scam. |
On Wall Street
May 1, 2011
Lorie Konish |
SEC To Revise Rules On Accredited Investors While proposed changes to the federal definition of an accredited investor seek to boost protection for investors participating in non-public offerings, financial advisors must approach the investments with vigilance, legal experts say. |
Registered Rep.
November 1, 2005
Christopher O'Leary |
A Crusade Against Indies? Regardless of whether going independent means a more regulatory scrutiny or not, advisors thinking of going out on their own need to understand just how much work such a move will entail in terms of keeping up with the ever-changing world of regulations. |
Financial Planning
April 1, 2010
Brian Hamburger |
Full Disclosure Protecting client privacy is one of the most important responsibilities of any financial advisor. And it's about to become one of the most time-consuming and highly regulated aspects of the business as well. |
Registered Rep.
December 1, 2004
John Churchill |
If You're a Broker and You Know It As the holiday season approaches, the SEC is getting daily entreaties from registered investment advisors seeking an end to the broker/dealer exemption rule. |
