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Registered Rep.
June 24, 2009
John Churchill |
SEC Says Time To Tighten Rules On Money Market Funds After one of the oldest and largest money market funds suffered such severe redemptions that the net asset value of its shares fell below $1, the SEC is proposing structural and regulatory changes for money markets   |
Registered Rep.
July 8, 2009 |
CIMA Adds Post-Modern Portfolio Theory To Curriculum The Investment Management Consultants Association has announced that it has changed the requirements for attaining the designation of Certified Investment Management Analyst. |
Registered Rep.
April 27, 2011
Kristen French |
CIMA Aims High: Seeks to Replace Series 7, 65 As Industry Standard The Investment Management Consultants Association announced Wednesday that its popular CIMA certification is now accredited by the American National Standards Institute, making it the first of the major wealth management designations to meet international ISO standards. |
Investment Advisor
March 2009
Kara P. Stapleton |
Group Think News about the FPA, American College, CFP Board, and IMCA. |
Registered Rep.
March 21, 2012
Diana Britton |
Money Market Debate Still Heated Despite SEC Call for `Constructive Dialogue' During the 2012 Mutual Funds and Investment Management Conference Monday, SEC Commissioner Elisse Walter called for the money market fund industry to stop taking shots in the media about any proposed regulations governing money market funds. |
Financial Advisor
February 2012 |
IMCA Boosts 2011 Membership The Investment Management Consultants Association's stepped-up efforts to attract new members paid dividends in 2011, with overall membership up 7% for the year. |
Registered Rep.
August 1, 2005 |
CIMA and the Wirehouse Rep. Merrill Lynch leads the pack in terms of the number of Certified Investment Management Analyst (CIMA)-carrying reps. |
Investment Advisor
June 2008 |
Changes People: Jeff Montgomery joins Al Frank Asset Management as CEO... Joby Gruber resigns FSC Securities and Advantage Capital and Larry Roth takes over his positions... Jeff Auld has resigned Berthel Fisher & Co... Gary Diffendaffer... Angela Biever... |
Registered Rep.
November 24, 2015
Debbie Carlson |
Is There a Liquidity Risk in Liquid Alts? Alternative mutual funds are a fast-growing part of the investment space, pushed by asset management companies that are suffering from the larger secular shift away from active and higher-priced management toward index funds. |
CFO
March 1, 2012
Vincent Ryan |
CFOs Cast a Wary Eye on Money-Market Changes New SEC proposals offer protections, but at a cost. |
Commercial Investment Real Estate
Nov/Dec 2013
Taylor & Trowbridge |
Group Investing Update Changes to securities laws may change your business model. |
Investment Advisor
October 2008 |
Asset Allocation, October 2008 This month's recommended asset allocations from Investment Advisor's panel of distinguished economists and money managers. |
Investment Advisor
February 2010 |
GroupThink News from the Investment Management Consultants Association and the SEC. |
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
November 2009
Melanie Waddell |
SEC Sets Out Strategic Plan The Securities and Exchange Commission publishes its Draft Strategic Plan outlining the Commission's strategic goals for 2010 through 2015. |
Investment Advisor
July 2007
James J. Green |
CFP Board Adds Fiduciary Requirement The Board of the Certified Financial Planner Board of Standards adopted a revised version of its code of ethics, adding new language that requires all 54,000 CFPs to "at all times place the interest of the client ahead of his or her own." |
Investment Advisor
August 2006
Joseph & Barreto |
Hedgeworld Hedge Fund Focus: Regulatory Limbo for Hedge Funds Experts say hedge fund advisors who registered with the Securities and Exchange Commission in response to the now-shelved hedge fund rule aren't likely to see examiners on their doorstep anytime soon. |
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
September 2008 |
Asset Allocation, August 2008 Monthly recommendations from the asset allocation panel. |
BusinessWeek
December 3, 2007
Nanette Byrnes |
Proxies: The SEC's Stopgap Solution Chairman Cox indicates he'll vote against shareholder access to corporate proxies, but the agency will revisit the issue next year. |
CFO
October 1, 2011
Sarah Johnson |
Is the SEC Being "Set Up to Fail"? A bill would raise the threshold for how the securities regulator sets rules. |
AFP eWire
April 23, 2007 |
Changes to CFRE Certification Process The international organization that oversees the Certified Fund Raising Executive credential issues important changes, most importantly criteria involving continuing education. |
AFP eWire
May 8, 2009 |
Certified Fund Raising Executive Program Receives Distinguished Accreditation Having a strong and respected credentialing program is extremely valuable to the fundraising profession, and this accreditation further solidifies the significance of the CFRE program. |
Financial Planning
October 1, 2005
Lisa Roth |
When the SEC Comes Calling Advisers need to prepare for an SEC regulatory inspection this month. Here's why -- and how. |
Investment Advisor
August 2008 |
Asset Allocation, August 2008 Monthly recommendations from this publication's asset allocation panel. |
Investment Advisor
July 2008 |
Asset Allocation, July 2008 Monthly recommendations from IA's asset allocation panel |
Investment Advisor
June 2008 |
Asset Allocation, June 2008 Monthly recommendations from this publication's asset allocation panel. |
On Wall Street
May 1, 2011 |
Five Questions With Sean Walters Sean Walters of the Investment Management Consultants Association shares his thoughts on the industry and credentialing programs. |
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. |
Investment Advisor
November 2007 |
Asset Allocation, November 2007 The monthly recommendations from the IA asset allocation gurus |
Investment Advisor
May 2008 |
Asset Allocation, May 2008 The monthly recommendations from the IA asset allocation gurus |
Investment Advisor
April 2008 |
Asset Allocation, April 2008 Read on for the monthly recommendations from the IA asset allocation gurus. |
Investment Advisor
March 2008 |
Asset Allocation, March 2008 The monthly recommendations from the IA asset allocation gurus. |
Investment Advisor
February 2008 |
Asset Allocation, February 2008 The monthly recommendations from the IA asset allocation gurus. |
Investment Advisor
January 2008 |
Asset Allocation, January 2008 The monthly recommendations from the IA asset allocation gurus: Economic and Financial Market Forecast... Recommended Allocations for a Balanced Portfolio... etc. |
Investment Advisor
May 2006 |
Asset Allocation The monthly recommendations from the IA asset allocation gurus: Economic and financial market forecast... Recommended allocations for a balanced portfolio... etc. |
Investment Advisor
June 2007 |
Asset Allocation, June 2007 The monthly recommendations from the IA asset allocation gurus: Economic and Financial Market Forecast... Recommended Allocations for a Balanced Portfolio... etc. |
Investment Advisor
September 2007 |
Asset Allocation, September 2007 The monthly recommendations from the IA asset allocation gurus: Economic and Financial Market Forecast... Recommended Allocations for a Balanced Portfolio... etc. |
Investment Advisor
January 2007 |
Asset Allocation The monthly recommendations from the IA asset allocation gurus: Economic and Financial Market Forecast... Recommended Allocations for a Balanced Portfolio... etc. |
Investment Advisor
December 2007 |
Asset Allocation, December 2007 The monthly recommendations from the IA asset allocation gurus: Economic and Financial Market Forecast... Recommended Allocations for a Balanced Portfolio... etc. |
Investment Advisor
July 2007 |
Asset Allocation, July 2007 The monthly recommendations from the IA asset allocation gurus: Economic and Financial Market Forecast... Recommended Allocations for a Balanced Portfolio... etc. |
The Motley Fool
May 14, 2004
Selena Maranjian |
Shareholders Take Action Here are some tips on how to make a difference with your holdings. |
Investment Advisor
February 2009
Melanie Waddell |
Teaming Up for Change The National Association of Personal Financial Advisors, the Financial Planning Association, and the Certified Financial Planner Board of Standards -- which have joined forces to lobby Congress on financial services reform -- christen themselves the Financial Planning Coalition. |
Registered Rep.
May 1, 2005
David A. Geracioti |
A Mere Hurdle to Clear When the SEC ruled in April to re-propose the so-called Merrill Exemption, permitting Series 7 licensees to continue to call themselves "financial advisors," thousands of reps --- and their firms --- heaved a sigh of relief. |
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. |
Registered Rep.
June 2, 2004
Will Leitch |
SEC Passes Breakpoint Amendment---With an `Ethics' Twist The Securities and Exchange Commission has issued its long-awaited amendments on breakpoints (sales-charge discounts on mutual funds), and the end result of months of deliberations surprised no one. |
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. |
Investment Advisor
September 2008
Melanie Waddell |
SEC, DOL to Share Data The SEC and Department of Labor agree to share information on retirement and investments in an effort to protect the $5.8 trillion in retirement assets of American workers. |
Investment Advisor
October 2009
Melanie Waddell |
SEC Criticized for Madoff Congress chides the SEC for the scathing inspector general report on Bernie Madoff. |
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. |
