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On Wall Street October 1, 2012 Alan J. Foxman	Brokering the Commission Split Our legal analyst explores commission sharing and FINRA disclosure rules.
On Wall Street January 1, 2012 Alan J. Foxman	The Disclosure Dilemma When and what needs to be disclosed on the U4?
On Wall Street December 1, 2012 Alan J. Foxman	Sales Assistant Activities Limited by Finra Rules Our legal expert explains what your assistant can and cannot do with trade processing.
On Wall Street August 1, 2013 Alan J. Foxman	Legal Expert Discusses Commission Contracts Our legal expert discusses how to make sure you re getting your due in commissions.
Financial Planning May 1, 2006 Marianne Czernin	Don't Let Simple Things Trip You Up! Financial professionals must take the time to make sure they understand what the various regulatory organizations require them to do before they actually do it. They shouldn't go it alone, or they could find themselves in the same situations as these reps.
On Wall Street April 1, 2011 Alan J. Foxman	The Whole Truth Advisor Q&A: Disclosure of conflicts of interest... Clients testimonials as advertising... Advisor representatives and outside business activities... Form ADV on a CD... Qualifications needed on Form ADV...
Investment Advisor June 2006 Kathleen M. McBride	Stretched For broker/dealers who are already stressed, dually registered advisors are a challenge being met in varied ways.
On Wall Street September 1, 2011 Nick Georgis	Taking The Hybrid Road As more advisors transition to independence these days, a growing number of them are choosing to adopt a hybrid business model that lets them conduct both commission-based brokerage business and fee-based advisory business. For many advisors, the hybrid road may offer the best of both worlds.
On Wall Street October 1, 2009 Alan J. Foxman	Crossing the Line in Your Relationships with Clients Q&A: What privileges can a firm give a client?... Can a financial advisor borrow money from a bank that is a client?... Arbitration claims about promissory note... Must I tell my employer annuities I've sold through a third-party vendor?...
Financial Planning April 1, 2006 Laurie Lennox	Know Your Team To be successful in the high-net-worth market, financial advisers must know their limitations and establish alliances with a network of qualified professionals to address client needs outside the expertise or abilities of the "quarterback."
On Wall Street January 1, 2010 Alan J. Foxman	Blamed for ARS He Didn't Sell Misrepresenting auction-rate securities... BrokerCheck public disclosure system...
Investment Advisor August 2005 Thomas D. Giachetti	Come Right In Here are some issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners.
On Wall Street May 1, 2013 Alan J. Foxman	When It's Okay to Share Clients Our legal expert discusses things to consider before making a referral to a nonaffiliated third party.
On Wall Street August 1, 2009 Alan Foxman	Whistleblowing Made Easy How to go about alerting authorities to violations in your firm, other legal questions are answered.
On Wall Street January 1, 2013 Alan J. Foxman	Holding On to a Series 7 Securities License After Leaving a Broker-Dealer Our legal expert explains how to keep a Series 7 license fresh after moving from a broker-dealer.
On Wall Street February 1, 2012 Alan J. Foxman	Death of A Client Until a personal representative (or executor) is appointed by the probate court, the client no longer has the ability to ratify the trades or revoke the authority granted.
On Wall Street November 1, 2011 Alan J. Foxman	The Uncooperative Client Questions about negligent clients, trademarks, and email archiving are discussed.
Financial Planning January 1, 2007 Mike Suppappola	Compliance Tips Solicitation agreements have been around for decades. These relationships present myriad compliance issues, and advisors should keep in mind the following regulatory requirements.
Registered Rep. March 15, 2011 Bill Singer	Street Legal: FINRA's Decision on a Financial Advisors' Tweets Is a Lesson for All According to a recent Financial Industry Regulatory Authority settlement, registered persons may need to reconsider some activities that go on outside of work.
Investment Advisor November 2006 Thomas D. Giachetti	Defining Fiduciary What is a financial advisor's true fiduciary duty?
Registered Rep. November 4, 2009 Bill Singer	Rep. Bachus Slips One In (Not Everyone Is Cheering) Has Capitol Hill taken its legislative legerdemain to new depths?
Registered Rep. June 1, 2007	The Great Re-Sell How will registered reps re-position themselves with clients who have fee-based brokerage accounts?
Financial Planning May 1, 2012 Jennifer Woods Burke	Gotcha! Audits Get Tougher This year, the SEC and FINRA launched a webinar for firms detailing their expectations and reaffirming that whether a firm is large or small, regulators expect the same level of diligence when it comes to audits.
On Wall Street September 1, 2010 Alan J. Foxman	Ponzi Schemes And Problems Paying Fines Q&A: What does it mean for advisors that records are now available to the general public online?... How will arbitration payments I must make but cannot afford right now affect my license?... more...
On Wall Street June 1, 2010 Alan J. Foxman	Holding the Check: Problem or No? Holding onto a client's check for more than a week... Lowering total commission limits... FINRA arbitration... What to do with proprietary mutual funds if you switch companies...
Registered Rep. October 1, 2002 David A. Geracioti	Outgrowing the Series 7? Registered investment advisors must take the Series 65 exam. As the line between brokers and financial advisors blurs, what responsibilities do brokers that dispense advice and collect a fee based on assets have?
Registered Rep. June 24, 2011 Ed Mason	Acquiring a B/D? Use This Checklist. Attention early in the process to the unique regulatory concerns impacting broker/dealer M&A will increase the probability of parties successfully navigating a path to closing and, ultimately, a successful acquisition.
Registered Rep. January 1, 2005 Jennifer Woods Burke	Not in My Name Under limited circumstances, NASD Rule 2130 allows registered representatives to erase histories of disputes with customers from the CRD system.
Financial Advisor August 2009 Roy Diliberto	Transparency: A Model For Our Profession Investment advisers should only have one interest in mind, and that is the individual.
On Wall Street October 1, 2008 Alan J Foxman	Heightening Supervision Advisory firms have flexibility in creating plans to supervise brokers who have a history of complaints or disciplinary issues.
On Wall Street May 1, 2012 Alan J. Foxman	All Tied Up The author answers questions about waiving fees for clients and registering an advisory business in California.
Investment Advisor March 2006 Melanie Waddell	The Playing Field: Here, There and Everywhere Dually registered advisors (advisors who are registered with both the SEC and the NASD, and are collecting both fees and commissions) have the best -- and worst -- of both worlds. However, a new study shows when implemented properly, the hybrid model can be very profitable.
On Wall Street December 1, 2010 Alan J. Foxman	When FINRA Intervenes Even non-member firms (such as registered investment advisors) can voluntarily agree to use either FINRA's arbitration or mediation services.
On Wall Street March 1, 2010 Alan J. Foxman	When Is A Blog Really An Ad? Readers write in with regulatory questions that affect financial firms and advisors.
On Wall Street May 1, 2013 Bill Willis	How Advisors Can Prepare for Compensation Disclosure Rule New rules to disclose recruitment compensation may be blooming soon.
Financial Advisor May 2005 David J. Drucker	Accounting For CPA Referrals Why are CPAs selling client referrals to financial advisers, and should you be buying?
BusinessWeek November 19, 2007 Anne Tergesen	Should You Buy from an Adviser? Brokerage firms may have incentives to push securities in their inventories.
Investment Advisor March 2007 Saxon & Breyfogle	DOL Issues Favorable New Guidance on PPA "Investment Advice" Provisions The Department of Labor's Field Assistance Bulletin resolves some of the uncertainties created by the PPA and creates a new option for service providers that wish to provide investment advice without fee offsets or reliance on computer models.
On Wall Street August 1, 2011 Alan J. Foxman	When Advertising Is Advertising Marketing a book to existing and prospective clients is considered advertising... Report your employment history as of the date you're filing for registration...
Financial Planning July 1, 2013 Patrick Sweeny	How to Talk About Your Fees Clients deserve straight answers on the ways they pay for your services.
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.
Inc. April 2008	Figuring Out the Fees Don't believe it if an adviser says his services cost nothing - you're paying for it, one way or another. Here's a breakdown of the fees to watch for.
Financial Planning June 1, 2011 Bob Veres	Things I Just Don't Understand Is there any profession, anywhere, that's raised its own standards voluntarily, identified and reduced its own conflicts of interest voluntarily and lobbied harder on behalf of consumer protections than the financial planning profession over the past 30 years?
Investment Advisor April 2009	B/D Briefing: News & Products The latest from the broker/dealer world.
Financial Advisor September 2008 Rebecca Pomering	Picking A CPA Mate The concept of financial advisors partnering with CPAs is not a new one. But if the strategic fit isn't good and if the partnership has not been forged with deliberate, thoughtful planning, the results won't be merely disappointing, but disastrous.
Financial Planning March 1, 2008 Bob Veres	Deconstructing Rand A report written by the Rand Corp. will help the SEC's staff decide who should and should not be registered as an registered investment advisor, and to determine whether investors understand the differences between and relationships among broker-dealers and investment advisors.
Registered Rep. November 1, 2006 Susan Konig	A Big Trade Off? For advisors looking for further independence through a registered investment advisory firm, compliance burdens can increase. Reps working under an independent b/d's umbrella RIA, also known as "dually registered" advisors, must comply with both NASD and SEC rules.
Financial Planning July 1, 2006 Bob Veres	Changing Charges Now that the commissions vs. fees debate is fading from the financial planning profession, a new compensation discussion is on the table.
Financial Planning September 1, 2012 Eric Schwartz	Eric Schwartz of Cambridge Investment Discusses RIAs A proposal to deal with RIAs regulatory advantage over independent broker-dealers.
On Wall Street October 1, 2010 Chris Kentouris	Finra Wants More Details When Someone Gets Canned Advisors, take note: FINRA wants broker-dealers to provide more detail on the reasons for dismissing an employee in reports to the regulator.