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Registered Rep.
November 1, 2006
John Churchill |
Insider Trading Up in 2006 NYSE Regulation says it expects to refer 140 potential insider-trading cases to the SEC in 2006.   |
Financial Planning
June 1, 2008
Max Mejiborsky |
Some Tips on GIPS Conforming to the Global Investment Performance Standards is purely voluntary for investment advisors and in no way replaces any of the laws, regulations or no-action letter guidance issued by the SEC or state regulators. |
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. |
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? |
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." |
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). |
Financial Planning
July 1, 2007
Jane Worthington |
Compliance Use these rules to help you survive an SEC inspection. |
Registered Rep.
May 10, 2007
Kristen French |
SEC Impostors on the Loose The SEC issued an alert to securities industry firms, warning them to keep an eye out for impostors -- individuals pretending to work for the SEC. |
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
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. |
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. |
Investment Advisor
September 2008
Melanie Waddell |
Turf Wars A conversation with former SEC Commissioner Roel Campos about the Treasury's Blueprint for financial services reform. |
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. |
Investment Advisor
May 1, 2011
Bob Clark |
The Polar Bears Thawing out our modern black and white thinking could save the fiduciary standard. I don't usually write about politics, except when it has a direct impact on financial advice, and this appears to be one of those times. |
InternetNews
December 5, 2007
Larry Barrett |
Novell Delivers a Different Kind of Earnings Surprise Novell caught everyone unawares this morning when it failed to report its fourth-quarter and year-end results. |
Registered Rep.
April 1, 2005 |
Ratting on Regulators Don't like the way that SEC investigator treated you while rifling through your files? Well, now you can report him. |
Investment Advisor
October 2009
Melanie Waddell |
SEC Criticized for Madoff Congress chides the SEC for the scathing inspector general report on Bernie Madoff. |
Investment Advisor
April 2008
Melanie Waddell |
It's About Time Investment industry executives agree that the SEC's proposed short-form mutual fund prospectus is long overdue. |
Registered Rep.
January 19, 2011
Kristen French |
In Dodd-Frank Report, SEC Champions User Fees Over SRO The study and report were meant to address a trifecta of problems: a history of weak oversight of investment advisers, current shortfalls in SEC funding and the regulator's rapidly expanding responsibilities under Dodd-Frank. |
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. |
Registered Rep.
February 22, 2005
Will Leitch |
SEC's Roye Out as Mutual Fund Head In a move that casts doubt on the future of mutual fund regulation, the SEC has announced that its chief mutual funds legislator, Paul Roye, will step down, effective immediately. |
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
July 2008
Melanie Waddell |
SEC Chairmen of Yore Speak Six former SEC chairmen pointed to quite a few regulatory challenges that loom large -- namely globalization of the world markets, the burgeoning market for complex synthetic securities, and the continued growth of hedge funds. |
CFO
May 1, 2010
Sarah Johnson |
The SEC Has a Few Questions for You This is the envelope no CFO looks forward to opening, even if the inquiry proves to be fairly routine. |
Registered Rep.
January 27, 2010
David A. Geracioti |
The SEC "Reforms" Money Market Funds but Votes to Allow Funds to Suspend Redemptions So now the SEC can decide when your client may take his or her money out of an investment? |
BusinessWeek
July 17, 2006
Mara Der Hovanesian |
The SEC Isn't Finished With Hedge Funds The SEC is closing in on shady practices despite a setback from a federal court. |
On Wall Street
April 1, 2013
Kenneth Corbin |
SEC Zeros In on Potential Conflicts of Interest The regulator's staff will investigate nondisclosures, misrepresentations, and more. |
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. |
Investment Advisor
May 1, 2011
Thomas D. Giachetti |
You Can't Regulate Crooks Unnecessary regulation annoys the good guys, and doesn't stop the bad guys |
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. |
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. |
Registered Rep.
February 1, 2006 |
Legislative Attack on the SEC Congressional representatives introduced a bill that would abolish the arm of the SEC that conducts sweeps. |
Financial Planning
May 1, 2012
Mike Byrnes |
SEC, Un-liked Regulators should acknowledge that there's been a revolution, then take a fresh look at industry regulations and make appropriate revisions. Like it or not, the SEC should catch up with the times and reverse its stance on likes. |
The Motley Fool
June 26, 2006
S.J. Caplan |
Hedge Funds Rule! A federal court strikes down the new "hedge fund rule." The spotlight now shines on the current SEC chairman, Christopher Cox. |
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. |
Registered Rep.
January 23, 2011
Kristen French |
SEC Recommends Strict Fiduciary Standard For Broker/Dealers An SEC study released over the weekend could represent a major push towards a more uniform regulatory framework for the fragmented wealth management business. |
Investment Advisor
August 2006 |
Group Think The Investment Company Institute's president applauded the SEC for its decision to issue guidance... The National Association of Personal Financial Advisors (NAPFA) has presented its 2006 Special Achievement Award... etc. |
Investment Advisor
March 2009
James J. Green |
News: SEC's Top Cop Linda Chatman Thomsen, the director of the SEC's Division of Enforcement, said February 9 that she would leave the Commission and return to the private sector. |
CFO
March 1, 2010
Sarah Johnson |
Nonplussed by Non-GAAP CFOs are dismayed and discouraged by the SEC's approach to non-GAAP reporting. |
Investment Advisor
March 2010
James J. Green |
B/D News Bulletins and news of interest to broker/dealers from FINRA and the SEC. |
Financial Planning
October 1, 2008
Jane Worthington |
Document Requests Every registered advisor can expect an SEC staff examination and document request. To ease your firm through the process of delivering the documents in a timely manner, it's important to ensure that documents are easily accessible. |
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. |
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. |
Investment Advisor
August 2006
Thomas D. Giachett |
Expert's Corner: A Process, Not a Destination With the advent of SEC Rule 206(4) 7, which requires SEC-registered investment advisors to implement and maintain policies and procedures appropriate for their investment advisory business, it is more critical than ever for all RIAs to recognize that compliance is an ongoing process. |
Financial Planning
March 1, 2007
Lynn Hume |
The Bond Buyer SEC Votes on Rules for Rating Agencies: The proposed rules would implement provisions of the Credit Rating Agency Reform Act of 2006, which Congress approved and President Bush signed to foster increased competition, transparency and accountability among rating agencies. |
Registered Rep.
April 28, 2010
Bill Singer |
The SEC's Own Report Says that It Missed Tips and Clues in a Giant Ponzi Some have alleged improper political motives in the Stanford case, which the SEC has denied. |
Financial Planning
November 1, 2008
Jane Worthington |
Ways to Stop Fraud Firms can take effective steps to lessen the risk of fraud. Begin with thorough background checks before hiring. |
The Motley Fool
February 9, 2007
Dan Caplinger |
Millionaires Need Protecting, Too Regardless of how this issue plays out, expect continuing friction between the SEC and the hedge-fund industry. In the meantime, if you want to use alternative investments, you'd best get started toward the new $2.5 million mark. |
Investment Advisor
April 2009
Melanie Waddell |
All About Enforcement It's seems a daily occurrence now that the Securities and Exchange Commission levies an enforcement action against a financial services firm |
Registered Rep.
December 16, 2008
Bill Singer |
Have Arthur Levitt's Words Come Back to Haunt Him? On the heels of the recent lurid discoveries about Bernard Madoff's multi-billion-dollar fraud, former SEC Chair Arthur Levitt is quoted in the article as saying: "At this point, I don't see any evidence that the SEC dropped the ball." |
