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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 17, 2007 Halah Touryalai	Massachusetts Enforces Rules On Use of Senior Designations The state's Securities Division adopted the nation's first regulation requiring advisors to advertise only accredited credentials, or credentials that can clearly demonstrate that they call for meaningful expertise, when offering financial advice to elderly clients.
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.
Investment Advisor March 2007	March 2007 NASAA reported that between 2004 and 2005, 26% of the 3,635 state enforcement actions dealt with the financial exploitation of seniors... Financial Services Institute Chairman John Simmers announced FSI will issue a white paper... etc.
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.
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.
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.
Investment Advisor June 2006 Melanie Waddell	Retirement Planning: News & Products Baby boomers and seniors -- don't confuse the two... SEC Chairman Christopher Cox is on his own crusade to fight senior fraud... John Hancock introduced a new survivorship universal life insurance policy... etc.
Wall Street & Technology July 1, 2005 Maria Santos	Fast Facts According to the Securities Industry Association's 2004 Investor Survey, nine out of 10 investors are "very" or "somewhat" satisfied with the service provided by their investment professional.
Registered Rep. January 1, 2006 Kristen French	Help Wanted Securities Industry employment topped the 800,000 mark in November for the first time since February 2002.
Investment Advisor March 2007 Melanie Waddell	States' Rights The North American Securities Administrators Association's agenda includes preserving state regulators' authority.
The Motley Fool September 11, 2007 S.J. Caplan	No Free Lunch Regulators are still clamping down on "free lunch" scams targeted at seniors. A recent investigation has revealed these sessions to be high-pressure sales pitches of misleading claims and unsuitable financial products, and even fraud.
Registered Rep. May 1, 2004	Cutting the Pace of Cost-Cutting New numbers from the Securities Industry Association suggest that cost-reduction efforts are easing.
Registered Rep. February 1, 2003 Pamela J. Black	The Enforcers In the U.S., NASAA, the North American Securities Administration Association, is the association of the 50 state securities regulators responsible for efficient capital formation and grass roots investor protection.
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.
BusinessWeek June 25, 2009 Theo Francis & Mark Scott	European Regulators Target U.S. Firms New regulatory efforts by European policymakers may put American banks, insurers, and money managers at a competitive disadvantage.
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.
The Motley Fool May 21, 2010 Jennifer Schonberger	The Senate's Cop Cracks Down on Financial Fraud "Fraud and potential criminal conduct were at the heart of the financial crisis," Senator Ted Kaufman (D, Del) said in a speech last month on the Senate floor.
Registered Rep. September 10, 2007 Christina Mucciolo	Regulators Investigate "Fraud Lunches" For Seniors Firms are being held accountable for the sales pitches and materials used during these seminars.
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. November 21, 2007 Halah Touryalai	SEC Fines At Four-Year Low The fall in fines comes after complaints from Republican commissioners and business groups that say the penalties hurt investors. Meanwhile, Democrats say the heavy fines deter fraud.
U.S. Banker January 2010 Rob Garver	Be Careful What You Wish For New Basel rules requiring large banks to hold more capital against their trading books could wind up driving banks out of the business of buying and selling securities. Is that really what regulators want?
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. 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.
IndustryWeek September 1, 2005	Finance: True To Reform New rules affecting the ways companies offer and register securities are slated to take effect on Dec. 1, 2005.
Investment Advisor April 2010	B/D News Licensing for insurers and brokers... scamming Madoff victims... NASAA's settlement with UBS...
Financial Planning December 1, 2007 Jane Worthington	Compliance The Financial Industry Regulatory Authority recently collaborated with the North American Securities Administrators Assocation to introduce the Small Firm Emergency Partner Program.
U.S. Banker April 2011	Noted & Noteworthy A recently released survey from electronic-payments firm ACI Worldwide found that nearly one-third of consumers say they were victims of credit or debit card fraud in 2010.
Investment Advisor January 2009 Melanie Waddell	Watch Out. Reform In on the Way As the New Year unfolds, one thing is certain: financial services regulatory reform will be hotly debated in the 111th Congress, and perhaps some reforms will actually be put into place.
Wall Street & Technology June 21, 2004	The Trust Factor We're at a point where we trust the technology and we trust the operations, but we don't trust the human beings and the corporations in the securities industry.
Registered Rep. January 1, 2008	2008: A Glass-Half-Full Kind Of Year? An economic prediction from the Securities Industry and Financial Markets Association.
Registered Rep. July 30, 2003 Will Leitch	Securities Industry Registers Slight Employment Uptick Securities firms have begun adding employees again, according to statistics from the Securities Industry Association and the Labor Dept.
The Motley Fool December 26, 2006 Dan Caplinger	The SEC's Gift to You Securities regulation helps guard investors against fraud.
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.
Financial Planning May 1, 2010 Paul Menchaca	The Road Ahead Securities America's executive team seems to view its stellar growth with a mix of pride, and a small degree of hesitation.
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. September 10, 2008	Bank of America to Buy Its ARs Back The nation's second-largest bank by assets settled an investigation by Massachusetts regulators, agreeing to buy back $4.5 billion worth of the securities.
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.
Bank Systems & Technology November 17, 2009 Maria Bruno-Britz	Obama Orders Creation of Financial Fraud Task Force The Financial Fraud Enforcement Task Force, an interagency initiative, will rely on the coordinated efforts of each member to prevent another financial crisis. The new task force replaces the Corporate Fraud Task Force.
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.
Registered Rep. October 8, 2008	Bank of America Reaches Second Settlement To Buy Back ARS The agreement closely mirrors the firm's earlier settlement with the Massachusetts Securities Division that was announced in September, 2008.
Wall Street & Technology June 21, 2004	Spending Stats TowerGroup VP estimates that the North American securities market will spend $71.5 billion on technology this year.
U.S. Banker July 2006 Michael Dumiak	For Victims of ID Fraud, Losses are Not the Same Age, income and ethnicity factor into who is most vulnerable to identity fraud. The demographics of ID fraud are a call to action for institutions to analyze the trends closely so they can better educate customers.
Investment Advisor November 2007 Elizabeth D. Festa	Institutional Approach for Individuals As a senior financial advisor, Leon James applies the quantitative analysis and strategic asset allocation used with his institutional clients to individuals who are retiring.
Investment Advisor January 2009 Jeff Joseph	More Regulation Post-Madoff? The only thing they are certain of is that his alleged Ponzi scheme.
Bank Technology News June 2006 Rubina Johannes	The Demographics Of ID Fraud Not every group is victimized, or protected, in the same way or at the same level. Javelin examines how incidents and precautions differ based on age, income and ethnicity.
Insurance & Technology July 28, 2005 Anthony O'Donnell	Less Is More How does vendor selection related to fraud reduction for financial institutions?
Registered Rep. August 29, 2006 Kristen French	Pru Agrees to $600 Million Market-Timing Settlement Prudential Equity Group admitted to criminal wrongdoing in connection with the market-timing practices of a number of its brokers between 1999 and June, 2003.
Registered Rep. December 10, 2003 David A. Gaffen	Securities Revenues Fall in Third Quarter Securities firms showed profits of $3.0 billion in the third quarter of 2003, a 45 percent decline from the second quarter, according to the Securities Industry Association. A significant drop in trading revenue was responsible for the profit hit.