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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.   |
Investment Advisor
March 2007
Melanie Waddell |
States' Rights The North American Securities Administrators Association's agenda includes preserving state regulators' authority. |
Registered Rep.
January 1, 2007
Alan Lavine |
Fish or Fowl? Are equity-indexed annuities securities or insurance? The NASD offered only loose recommendations to member firms about how sales of this product should be conducted and supervised, but most broker/dealers are implementing them anyway. |
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.
March 27, 2006
Kristen French |
SEC Targets Investment Traps Set For Seniors The move against the "free lunch," as they are generally called, is part of a larger initiative launched to protect senior citizens from investment scams and unsuitable recommendations. |
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. |
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. |
Registered Rep.
April 15, 2015
Megan Leonhardt |
Regulators Concerned B/Ds Recommending Unsuitable Products to Seniors With seniors more dependent than ever on their investments for retirement, regulators have found a number of broker/dealers may have recommended unsuitable products and not adequately disclosed risks. |
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. |
Investment Advisor
June 2010
Melanie Waddell |
FINRA's Ketchum Sees a Fiduciary Future for B/Ds Inappropriate sales of VAs to seniors at top of FINRA regulatory radar. |
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. |
The Motley Fool
September 21, 2007
Dan Caplinger |
Don't Lose Your Life Savings After a lifetime of hard work, seniors should be able to sit back and enjoy their retirements comfortably. But beware, con artists and disreputable professionals have singled out the elderly as targets for scams and fraud. |
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. |
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. |
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. |
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. |
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 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. |
Investment Advisor
June 2006
Elizabeth Festa |
B/d Briefing: Regulating Annuity Sales The NASD is taking steps to assess oversight of the sales of all types of annuities by the patchwork quilt of regulatory agencies overseeing the products and move toward a level playing field of regulation without formulating any new rulemaking of its own. |
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. |
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
October 2006
Melanie Waddell |
Taking It to The Hill The Financial Services Institute lobbies lawmakers and hears from regulators on their Public Policy Day in Washington. |
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. |
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.
July 30, 2009
Christina Mucciolo |
Financial Advisor To The Mafia? Do any of your clients have a connection to the Mafia? One lawyer specializing in securities law says he represents a financial advisor who was threatened by someone claiming to have family in the Mob. |
Financial Advisor
March 2004
Tracey Longo |
Making The Grade With Variable Annuity Exchanges With the creation of one-shot wrinkle reducers like Botox, battery-operated automobiles and cloned humans, can a world where there is no need to replace variable annuities be far off? |
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. |
Investment Advisor
October 2008
Bob Clark |
The Real Deal MarketCounsel is focused on taking the independent advisory model to the next level. |
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. |
Financial Advisor
October 2010
Andrew Gluck |
Pulling The Switch Are state regulators ready to assume oversight of some 4,200 RIAs? |
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
July 2010
Melanie Waddell |
A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward. |
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. |
Investment Advisor
November 17, 2010
Thomas D. Giachetti |
Will You Stay SEC Registered in 2011? Regulatory changes could cause confusion for advisors |
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. |
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
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
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. |
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. |
Investment Advisor
February 2007
Thomas D. Giachetti |
When Should You Register? Should an investment advisor with $30 million of "assets under management" register with the SEC? It depends on whether the advisor has "qualifying" assets under management. |
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. |
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. |
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. |
On Wall Street
July 1, 2009
Mark Astarita |
The SEC's "Feel Good" Committee The Securities and Exchange Commission announces the formation of an Investor Advisory Committee, which it says will give investors a greater voice in its work. |
Financial Planning
March 1, 2008
Stacy Schultz |
5 Questions with Melaine Kimmel Five questions about Kaplan Financial, which provides education and compliance solutions for financial professionals, advisors, agents, registered reps, and their supervisors. |
Registered Rep.
July 1, 2005
Bill Singer |
An Industry in Need of Counseling The relationship between regulators and the brokerage industry lately resembles that of a long-term union that's hit the rocks, and the pair could benefit from opening up a little more to each other. |
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. |
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. |
Registered Rep.
May 1, 2005 |
Research Requirements What specific rules or restrictions, particularly NASD/SEC rules, govern third-party research providers? |
Financial Advisor
December 2010 |
Frontline News RIAs Transferred To States May Get Dual Exams... Piqued By Peak Oil... The Art Of The Referral... etc. |
