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Investment Advisor
December 2006
Melanie Waddell
Democrats and Hedge Funds Will the new party in power turn up the regulatory heat? The SEC itself has gotten more vigilant and expanded its enforcement activities against hedge funds. mark for My Articles similar articles
CFO
June 1, 2009
Reason & Stuart
Crackdown Alert After a GAO report documents a slowdown in the SEC's case generation and penalty volume under former chairman Christopher Cox, the regulator's new leaders talk tough. mark for My Articles similar articles
On Wall Street
August 1, 2009
Mark Astarita
Changes at the SEC: Schapiro Should Be Benefit to Advisors One can expect that as head of the SEC Mary Schapiro will understand the impact of new rule proposals and enforcement initiatives and will temper the calls for more extreme changes that would ultimately harm the markets and the financial industry. mark for My Articles similar articles
Registered Rep.
June 18, 2010
Bill Singer
The UK Junks Its FSA, When Will We Junk The SEC The SEC is a gas-guzzling dinosaur of a vehicle whose engine warning-light went on years ago. It is a wheezing, dyspeptic boiler in our basement. Nothing good will come of this. mark for My Articles similar articles
Investment Advisor
October 2010
Melanie Waddell
About Those Other SEC Studies ... Among the litany of studies that the SEC is charged with conducting under the Dodd-Frank Act, the advisory industry will be greatly affected by about five of them. mark for My Articles similar articles
Registered Rep.
January 22, 2009
FINRA Frisks Select B/D RIAs FINRA, the Financial Industry Regulatory Authority, emailed a number of broker/dealers recently with requests for information about their RIA units. mark for My Articles similar articles
Financial Planning
December 1, 2011
Bob Veres
Regulatory Armaggedon The Republican leadership in Congress has proposed that the SEC authorize one or more self-regulatory organizations to take over regulation of RIAs. This has been coordinated with massive Wall Street lobbying. mark for My Articles similar articles
Investment Advisor
February 2009
Melanie Waddell
Mary Schapiro's Priorities Mary Schapiro tells the Senate Banking Committee what her priorities will be at the SEC. mark for My Articles similar articles
Investment Advisor
October 2009
Melanie Waddell
SEC Criticized for Madoff Congress chides the SEC for the scathing inspector general report on Bernie Madoff. mark for My Articles similar articles
Registered Rep.
December 15, 2011
French & Britton
Updated: Boston Consulting Group Report: FINRA Twice as Costly SEC for Investment Adviser Oversight According to BCG's report, which was sponsored by firms and groups who support having the SEC oversee investment advisers, setting up FINRA to oversee investment advisers would be twice as costly as giving the SEC the funding it needs. mark for My Articles similar articles
Financial Planning
December 1, 2010
Donna Mitchell
Turning on the Charm Next month the SEC reports to Congress on its recommendations for enhancing examinations for investment advisors. FINRA, meanwhile, is trying to persuade movers and shakers on the Hill that it already has the answers. mark for My Articles similar articles
CFO
October 1, 2002
Alix Nyberg
Regulation: Pitt and the Pendulum The kinder, gentler SEC Pitt envisioned vanished faster than you can say Arthur Andersen. Can he run a tougher, meaner agency? mark for My Articles similar articles
Registered Rep.
February 4, 2009
SEC, FINRA, Hit Hard By Markopolos Testimony The famously ignored Madoff whistleblower testified before the House Financial Services Committee that the SEC is "incompetent," among other things -- and had even harsher words for FINRA. mark for My Articles similar articles
BusinessWeek
July 29, 2010
Jesse Westbrook
Whistleblowers Get a Raise The SEC will offer up to 30 percent of the money from fines to reward tipsters. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
April 2, 2014
David Armstrong
Editor's Letter: April 2014 Larry Doyle's recent book, In Bed With Wall Street: The Conspiracy Crippling Our Global Economy, elevates and sharpens the case against Wall Street's model of self-regulation. mark for My Articles similar articles
Registered Rep.
January 15, 2009
Schapiro's Replies: Blame The SEC--Not FINRA--For Madoff It wasn't her job, man. mark for My Articles similar articles
Registered Rep.
October 1, 2005
John Churchill
Regulation With a Smile The SEC ranked fifth in a federal government study titled "2005 Best Places to Work." mark for My Articles similar articles
Investment Advisor
June 2009
Melanie Waddell
Danger & Opportunity: Obama and SEC Enforcement Under Microscope As the Obama Administration was ringing in its first 100 days in office in early May, the Securities and Exchange Commission's enforcement division was awaiting a much-needed $40 million cash infusion that Congress promised was on its way. mark for My Articles similar articles
Registered Rep.
September 2, 2009
John Churchill
SEC Blew It With Madoff, Inspector General Says SEC Chairman Mary Schapiro announced the release today of the Office of the Inspector General's report on the Bernard Madoff fraud. It says, in short, the SEC screwed up in every way possible. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
July 30, 2007
Halah Touryalai
FINRA Sticks as SEC Approves Regulator Consolidation After some minor bumps along the way, the NASD and NYSE merger is official. mark for My Articles similar articles
Financial Advisor
November 2011
Evan Simonoff
What Gives At The SEC? For several decades, the Securities and Exchange Commission has contended that it does not have sufficient resources to examine and inspect RIAs. Consequently, many have concluded that Finra is the default option for all RIA regulation. mark for My Articles similar articles
Investment Advisor
March 2009
Melanie Waddell
When It Pays to Fight City Hall An annual analysis of litigated disciplinary proceedings brought by the SEC and FINRA against broker/dealers and registered representatives shows that it sometimes pays for B/Ds and reps to litigate against the regulators. mark for My Articles similar articles
Investment Advisor
February 2009
Melanie Waddell
Is Mary What the SEC Needs? The alternative to FINRA overseeing advisors, and what advisors would definitely prefer, is a self-regulatory organization. mark for My Articles similar articles
Registered Rep.
January 9, 2007
John Churchill
To Hedge Gets Harder The SEC proposed a rule in December that would raise the net worth requirements of investors in hedge funds to $2.5 million from $1 million, not including the value of one's home. mark for My Articles similar articles
Registered Rep.
March 10, 2011
Kristen French
SEC Says Bigger Budget Is Supported By BCG Report In testimony before Congress Thursday, SEC Chairman Mary Schapiro made a case for an increase in the agency's funding to $1.407 billion for 2012. mark for My Articles similar articles
Registered Rep.
March 15, 2013
Megan Leonhardt
A "Tougher" FINRA? FINRA has stepped up the number of cases and the value of fines they levied against advisors last year, but that doesn't neccessarily mean that the indstury's self-regulatory organization is getting any tougher. mark for My Articles similar articles
Financial Planning
March 1, 2011
Larry Light
The Tradeoff Registered investment advisors may end up getting to know a new regulator, but the tougher fiduciary standard they live under will also be extended to cover their broker-dealer rivals. mark for My Articles similar articles
CFO
February 1, 2009
Edward Teach
The SEC under Schapiro Can Mary Schapiro restore investors' confidence in the beleaguered regulator? mark for My Articles similar articles
Investment Advisor
May 2008
Mark Johannessen
Embracing Change on Our Own Terms Given the recent announcement by the Treasury Department of an ambitious reform package for the financial services industry, financial planners have no choice but to prepare for change. mark for My Articles similar articles
Pharmaceutical Executive
August 1, 2011
Ryan & Pelot
Congressional Investigations: What Every Exec Should Know When faced with legislative scrutiny, be prepared, be truthful, and don't be afraid to say 'I don't know'... The political pressures on Congress to reduce government spending on healthcare will only increase over time. mark for My Articles similar articles
Investment Advisor
September 2009
Melanie Waddell
SEC Bulks Up Enforcement The Securities and Exchange Commission is moving at a rapid pace to repair its sullied reputation after being lambasted by Congress for failing to stop the Bernie Madoff Ponzi scheme. mark for My Articles similar articles
Investment Advisor
July 2010
Melanie Waddell
A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward. mark for My Articles similar articles
The Motley Fool
November 14, 2011
John Reeves
Wrist Slaps All Around at the SEC The SEC disciplines its employees who were involved in the Madoff case. mark for My Articles similar articles
The Motley Fool
July 6, 2004
Tom Taulli
Grim Reaper Visits EasyLink By all appearances, EasyLink is being hit for a minor offense. Not according to the SEC. mark for My Articles similar articles
Registered Rep.
September 13, 2011
Kristen French
Long Legislative Fight Kicks Off with House Hearing On SRO, Fiduciary Standard Congressman Scott Garrett opened Tuesday's House Financial Services Committee hearing on an SRO for investment advisers and a fiduciary standard for broker/dealers with a threat. mark for My Articles similar articles
Registered Rep.
February 9, 2007
Kevin Burke
SEC Big Says Waiver Tactics Can Backfire An SEC commissioner today said that asking broker/dealers and investment advisory firms to waive their legal right to attorney-client privilege in order to speed up the pace of enforcement investigations is shortsighted. mark for My Articles similar articles
Investment Advisor
April 1, 2011
SEC and the Fiduciary Study: Politics and the Fiduciary Standard AdvisorOne Wealth Editor Kate McBride explains the political process under which Dodd Frank was passed, up to the SEC's reports on an SRO and fiduciary standard mark for My Articles similar articles
Investment Advisor
January 2006
Melanie Waddell
The Playing Field: SEC Inspectors Unit Under Fire After repeated complaints from broker/dealers, mutual funds, and investment advisors about the SEC's new sweeps examination process, Congress is threatening to abolish the SEC's Office of Inspections and Examinations (OCIE). mark for My Articles similar articles
Investment Advisor
April 2008
Elizabeth D. Festa
FINRA and SEC Look to Build Bridges Seminars for chief compliance officers includes recommendations for keeping the lines of communication open between broker firms, the Financial Industry Regulatory Authority, and the Securities and Exchange Commission. mark for My Articles similar articles
Investment Advisor
March 1, 2011
Melanie Waddell
House, Senate Hearings Next on Fiduciary Industry groups lobby for user fees to fund advisor exams in lieu of an SRO. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
January 14, 2009
Schapiro, FINRA Head And Obama's SEC Chair Selection Head To D.C. Tomorrow For A Confirmation Hearing Mary L. Schapiro heads to Capitol Hill tomorrow morning for the hearing on her Senate confirmation as President-elect Barack Obama's nominee to chair the U.S. Securities and Exchange Commission. mark for My Articles similar articles
Registered Rep.
March 15, 2010
Kristen French
Dodd Bill Requires Year-Long Study of Fiduciary Issue, SRO Idea, Gives SEC Muscle Banking reform legislation introduced Monday would give the SEC greater enforcement muscle over RIAs, and would require it to conduct a study examining the effectiveness of extending the fiduciary standard to brokers. mark for My Articles similar articles
Investment Advisor
July 1, 2011
Bob Clark
If You Want Something Done Right It's beginning to look like the only way Dodd-Frank reregulation is going to turn out well is if RIAs form their own SRO. mark for My Articles similar articles
Investment Advisor
December 21, 2010
James J. Green
FSI Endorses FINRA as SRO for Investment Advisors Dale Brown says FINRA option is "best way to address the regulatory gap." mark for My Articles similar articles
Wall Street & Technology
June 29, 2005
Maria Santos
Thomsen Replaces Cutler at SEC Enforcement Head The SEC named Linda Chatman Thomsen director of the division of enforcement. Thomsen joined the SEC in 1995 and has served as the enforcement division's deputy director since 2002. mark for My Articles similar articles
On Wall Street
July 1, 2010
Alan J. Foxman
Dueling Investigators Advisor Q&A: Why must agencies duplicate investigatory efforts?... Should I worry about reps picking up bad habits from old firms?... mark for My Articles similar articles
Registered Rep.
March 11, 2009
Halah Touryalai
Extreme Makeover: SEC With or without an increased budget, the SEC wants to make up for its shortcomings. mark for My Articles similar articles