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Registered Rep.
September 2, 2009
Halah Touryalai |
SEC Says Careful With Your Recruiting Bonus The SEC sends a warning to broker/dealer executives about the recruiting bonuses they pay to advisors, saying they could encourage advisors to do things that are not in their clients' best interests.   |
Registered Rep.
December 3, 2010
Kristen French |
SEC Says No New Rules On Broker Bonuses The SEC is charged with regulating executive compensation under Dodd-Frank legislation, but not broker bonuses. "I've checked with everyone here and there is no rulemaking that the SEC is undertaking at this time with respect to broker bonuses." said a spokesman. |
Investment Advisor
May 2009 |
B/D News & Products News for broker/dealers: U.S. House of Representatives approved legislation that would tie pay to performance at companies that have received TARP funds... Securities and Exchange Commission charged the auditors of Bernard Madoff's broker/dealer firm with securities fraud... |
Registered Rep.
November 11, 2010
Kristen French |
Sources: New SEC Rules Won't Kill Upfront Bonuses New rules governing broker recruiting bonuses? The idea, floated by Mary Schapiro on Monday, met with skepticism this week from securities industry attorneys, compensation experts and recruiters. |
Investment Advisor
August 2009 |
B/D News Broker/Dealer news: SEC Enforcement... BOA and broker protocol... FINRA surveys retail sales practices... |
Registered Rep.
March 9, 2012
Kristen French |
Due Diligence: SEC Gives 70-Year-Old Broker a Break Back in the late 1970s, at the start of his career, Robert Hardee Quarles got himself into trouble -- offering and selling non-exempt securities without a valid and effective registration statement and also misleading his customers about the nature and risks of those securities. |
Investment Advisor
January 2010
James J. Green |
BAIS Moves Reps to Merrill Banc of America Investment Services (BAIS), Inc., transitioned its registered representatives to Merrill Lynch, and then requested that FINRA withdraw BAIS's broker/dealer registration. |
On Wall Street
December 1, 2010
Frances A. McMorris |
Broker Pay: The Next Regulatory Target? The federal agency's chairman, Mary Schapiro, said she wants to see rules that encourage "compensation programs that incentivize the right kind of behavior and conduct on the part of the industry," as opposed to short-term risk-taking. |
Investment Advisor
March 2010
James J. Green |
B/D News Bulletins and news of interest to broker/dealers from FINRA and the SEC. |
Registered Rep.
September 21, 2007
Halah Touryalai |
Banks Officially Welcomed into the Brokerage World Under New SEC Rule It only took eight years, but the SEC and the Board of Governors of the Federal Reserve System passed final rules defining how banks can act as securities brokers. |
Investment Advisor
May 2010 |
Broker/Dealer News Updates from National Financial, Russell Investments and The Law Offices of Patrick J. Burns. |
Registered Rep.
July 15, 2011
Kristen French |
SIFMA Wants Fiduciary Standard Governed By Client Contracts Broker/dealer trade group SIFMA fired off the latest round in the ongoing tangle over the fiduciary standard Thursday. The group sent a letter to the SEC that recommends creating for broker/dealers a modified version of the fiduciary standard that currently governs investment advisers. |
Registered Rep.
January 8, 2003
Ross Tucker |
SIA Urges No Change to Branch Office Definition The SIA has expressed serious concerns over proposed changes by the NYSE and SEC that would alter the qualifications by which a broker/dealer office is considered a branch office. |
Registered Rep.
May 24, 2006
Kristen French |
Broker Sanctioned for Violation of Patriot Act After nearly a year and a half since the law's passage and after over a dozen brokerage firm audits, the SEC took its first enforcement action against a broker/dealer. Yet, in so doing, the SEC noted that broker/dealers are generally doing a very good job of complying. |
Investment Advisor
June 2010
Thomas D. Giachetti |
Independence's Issues There are four main challenges faced these days by independent broker/dealers. |
Investment Advisor
June 2008
Philip Palaveev |
The New Model: The Fee-Only Broker/Dealer Independent broker/dealers must tackle head-on the causes of their frustration if they wish to survive. |
Registered Rep.
January 11, 2011
Kristen French |
Expect SRO For Advisers, Fiduciary Fix For Brokers Compliance consultants, securities lawyers and lobbyists overwhelmingly agree that the SEC will recommend both. |
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. |
OCC Bulletin
September 5, 2002 |
Investment Portfolio Credit Risks: Safekeeping Arrangements This guidance alerts banks to the potentially significant credit risks they incur when safekeeping investment portfolio assets with third parties, such as brokers, broker/dealer firms and banks. |
Registered Rep.
January 15, 2009 |
Schapiro's Replies: Blame The SEC--Not FINRA--For Madoff It wasn't her job, man. |
Investment Advisor
July 2010
Melanie Waddell |
A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward. |
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. |
Investment Advisor
May 2010
Melanie Waddell |
Schapiro Speaks on Fiduciary, 12b-1s In an exclusive interview, the SEC Chairman speaks her mind. |
Registered Rep.
June 7, 2011
Diana Britton |
Advisor Group in Talks to Acquire Smaller B/D Independent broker/dealer network Advisor Group is talking to a number of small and mid-sized broker/dealers that the company would consider purchasing. |
Investment Advisor
September 2008
Philip Palaveev |
B/D or RIA? How to Decide for Yourself To help make the decision between the registered independent advisor and broker/dealer approach, first ask yourself where you belong. |
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
September 2009
James J. Green |
Where Representatives Would Go This year, more than many others, many representatives of broker/dealers are reassessing their options when it comes to with whom, and how, they will affiliate. |
Registered Rep.
April 27, 2011
Diana Britton |
Poll: Do Recruiters Promise Too Much? A former Raymond James advisor recently filed suit against the broker/dealer claiming an internal recruiter misrepresented the support, technology and compensation the firm could deliver. |
Investment Advisor
September 2008
Melanie Waddell |
Whither the Independent B/D? Securities America's acquisition of Brecek & Young is yet another sign of dwindling independent broker/dealers. |
Registered Rep.
January 2, 2013
Diana Britton |
Comings & Goings: January 2013 Independent broker/dealer LPL Financial has tapped Victor Fetter as its new chief information officer... The Financial Services Institute has elected three new directors to its board for 2013... Three officials from the Securities and Exchange Commission announced plans to leave... |
Registered Rep.
March 1, 2008 |
How to Dance the Wall Street Shuffle There's no such thing as an easy route to independence. But there are some things reps can do to ease the transition. |
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. |
National Real Estate Investor
October 15, 2003
Parke Chapman |
NASD Fines Wells REIT Sponsor For Rewarding Brokers Wells Investment Services, sponsor of Wells Real Estate Investment Trust (REIT), has been sanctioned by the National Association of Securities Dealers (NASD) for rewarding broker/dealer reps who sell shares of the REIT with non-cash gifts. |
Investment Advisor
June 2009
James J. Green |
Best of Times, Worst of Times Securities America and Capital Analysts have responded to the financial crisis in quite different ways. But they're also quite similar in how they're proactively changing their business models to help reps and the home office thrive |
Investment Advisor
March 2009
James J. Green |
The FSI's Priorities Now While the members of the Financial Services Institute compete fiercely with each other in many areas -- within FSI they have subsumed their differences in favor of promoting the common agenda of broker/dealers. |
Registered Rep.
March 31, 2015
Diana Britton |
How Advisors Are Paid The ascendancy of fee-based compensation in the independent broker/dealer space continues. |
Registered Rep.
September 18, 2007 |
Cease and Desist Order Looms for NEXT Financial Group The Securities Exchange Commission issued an Order Instituting Cease-and-Desist Proceedings against the independent broker/dealer late last month. |
Investment Advisor
May 2008
Melanie Waddell |
Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers. |
Registered Rep.
August 30, 2011
Kristen French |
House Plans Hearing on SRO for Advisors for Sept. 13 The subcommittee is expected to review who should be responsible for examining investment advisers. |
Investment Advisor
August 2010
Bob Clark |
Can't Beat 'Em? Then Stall 'Em Despite the reform bill's ambiguity, a fiduciary standard for all seems likely. |
Investment Advisor
August 2010
Thomas D. Giachetti |
The Compliance Coach: Independent Advisors: Don't Violate the Protocol There are two major issues for a registered representative to consider when deciding to leave a firm and go independent. The first is how to leave. The second is appropriate registration and ongoing regulatory complance requirements. |
Investment Advisor
September 2009
James J. Green |
How the Representatives Voted The year 2009 marked the 19th time that Investment Advisor asked its readers who are representatives of independent broker/dealers to rank their own B/Ds on 14 discrete categories, along with an overall rating. |
Investment Advisor
June 2007
Kathleen M. McBride |
Interesting Times Independent broker/dealers find opportunity in the face of changing winds. |
Registered Rep.
March 1, 2006
Mindy Diamond |
Creative Giving Over the past year, top brokers who have switched houses on the Street have gotten some very creative compensation packages. The better the broker the more bells and whistles -- like loans and designer offices -- they are offered. |
Registered Rep.
May 11, 2011
Diana Britton |
CPA Panel: Regulators Taking B/D Accounting Data More Seriously The Financial Industry Regulatory Authority and the Securities and Exchange Commission are stepping up their scrutiny of the accounting and audit process of broker/dealers. |
BusinessWeek
April 11, 2005
Toddi Gutner |
Broker Or Adviser? Be forewarned: If yours is employed by a brokerage, your interests come second |
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. |
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. |
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. |
Investment Advisor
September 2007
Kathleen M. McBride |
Around the Table The leaders of the 2007 Broker/Dealers of the Year speak frankly about their challenges and opportunities. |
