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Registered Rep. October 21, 2011 Diana Britton	Nature of the Biz? Insurance Advisors Ahead of the Pack On Social Media Among financial advisors, insurance advisors are most likely to use social media for business purposes and most likely to have landed clients through social media.
Registered Rep. January 22, 2009	FINRA Frisks Select B/D RIAs FINRA, the Financial Industry Regulatory Authority, emailed a number of broker/dealers recently with requests for information about their RIA units.
On Wall Street March 1, 2010 Mark Astarita	Advisors Allowed To Get Social Some firms will continue to ban social media, while others will use the necessary software to allow it-just don't make a recommendation on one of the sites.
Registered Rep. January 15, 2009	Schapiro's Replies: Blame The SEC--Not FINRA--For Madoff It wasn't her job, man.
Registered Rep. July 25, 2011 Diana Britton	Another IBD-Seller of Private Placements Goes Belly Up Meadowbrook Securities, another independent broker/dealer that sold problematic private placements by Medical Capital and Provident Royalties, has gone belly up.
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.
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.
Financial Planning December 1, 2011 Bob Veres	Regulatory Armaggedon The Republican leadership in Congress has proposed that the SEC authorize one or more self-regulatory organizations to take over regulation of RIAs. This has been coordinated with massive Wall Street lobbying.
Investment Advisor September 2008 James J. Green	You're the Tops In a comprehensive face-to-face discussion, the leaders of the Broker/Dealers of the Year explain their firms' unique charisma and how they plan to remain at the summit of their professions.
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.
Registered Rep. September 7, 2011 Diana Britton	Seven B/Ds Sign on With Erado for Interactive Social Media Use The partnerships will allow these firms' reps to post interactive content to Facebook, Twitter, and LinkedIn without pre-approval by their compliance departments.
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.
Investment Advisor March 2010 James J. Green	B/D News Bulletins and news of interest to broker/dealers from FINRA and the SEC.
On Wall Street July 1, 2010 Alan J. Foxman	Dueling Investigators Advisor Q&A: Why must agencies duplicate investigatory efforts?... Should I worry about reps picking up bad habits from old firms?...
Investment Advisor June 10, 2011 Janet Levaux	BDs Beware: Banning Facebook Is Bad Policy, Says Socialware's Chad Bockius Socialware CEO says that prohibiting use of Facebook, Twitter and LinkedIn might lead to financial advisors switching firms.
Registered Rep. July 30, 2007 Halah Touryalai	FINRA Sticks as SEC Approves Regulator Consolidation After some minor bumps along the way, the NASD and NYSE merger is official.
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.
Financial Planning July 1, 2011 Donna Mitchell	Tweet Away It's been a struggle to get advisors to embrace social media because they don't fully recognize its business value.
Registered Rep. December 16, 2011 Diana Britton	Social Media Archiver Erado to Expand Globally Erado, which provides social media compliance and archiving software for broker/dealers, plans to expand its operations into Western Europe, Canada and possibly Japan next year, and expects to add at least 30 new employees in 2012.
Registered Rep. June 17, 2009 Christina Mucciolo	The Fiduciary Battle Continues, Now Under Federal Microscope Among other measures, the Obama administration proposed today that the Securities and Exchange Commission require that broker-dealers offering investment advice be held to the fiduciary standard rather than the suitability standard.
Registered Rep. March 15, 2013 Megan Leonhardt	A "Tougher" FINRA? FINRA has stepped up the number of cases and the value of fines they levied against advisors last year, but that doesn't neccessarily mean that the indstury's self-regulatory organization is getting any tougher.
Registered Rep. July 27, 2011 Diana Britton	NPH Adopts Social Media Strategy to Help Reps Connect with Clients National Planning Holdings plans to roll out a social media initiative this fall, which will allow its 3,563 reps to use Twitter, LinkedIn and Facebook to communicate with clients.
Registered Rep. June 3, 2011 Diana Britton	Another IBD Implodes, Victim to Private Placement Claims Independent broker/dealer Harrison Douglas Inc. has filed with the Financial Industry Regulatory Authority and the Securities and Exchange Commission to terminate its registrations and close the firm.
Registered Rep. June 19, 2012 Diana Britton	Whose Suitability Standards? In early 2011, the SEC completed a study, mandated under Dodd-Frank reform legislation, which recommended extending to brokers who advise retail clients the same fiduciary standard that now applies to investment advisors.
Registered Rep. August 29, 2014 Diana Britton	One Strike, You're Out When it comes to the world of independent broker/dealers, the Financial Industry Regulatory Authority is cracking down. Its stated 2014 priority is to focus its regulatory firepower on "high-risk" brokers.
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.
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 April 2008	News & Products, April 2008 FINRA has settled cases against five firms... Fidelity Investments has agreed to pay an $8 million penalty... FINRA fined and suspended 16 registered reps of State Farm VP Management Corp. of Bloomington, Illinois... etc.
Investment Advisor March 2009 James J. Green	Broker/Dealer Briefing: A Shot Over the Bow FINRA is quietly conducting a sweep of broker/dealers that could be the first steps to having the SRO take over regulation of registered investment advisors from the SEC -- something the former NASD has long desired.
On Wall Street March 1, 2013 Kenneth Corbin	FINRA Cracks Down on Suitability Broker-dealers and advisors recommending complex, high-yield products to see more scrutiny.
On Wall Street February 1, 2013 Alan J. Foxman	Proposed FINRA Procedures May Let Brokers Expunge Records Advisors may be able to erase mark against them from disputes in which they were not directly named.
Registered Rep. October 6, 2011 Andrew J. Haigney	Opinion: FINRA Is an Ineffective Regulator FINRA, the brokerage industry's self-regulatory organization, finds itself in caught up in the industry's death spiral. This non-government, private corporation's fortunes are tied to brokerage firms.
Registered Rep. November 1, 2007 Halah Touryalai	Do-It-Yourself Broker/Dealer Rather than join an existing broker/dealer as an independent contractor, an increasing number of reps are starting their own firms. Here are some important things to consider before going out on your own.
Registered Rep. September 13, 2011 Kristen French	Long Legislative Fight Kicks Off with House Hearing On SRO, Fiduciary Standard Congressman Scott Garrett opened Tuesday's House Financial Services Committee hearing on an SRO for investment advisers and a fiduciary standard for broker/dealers with a threat.
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.
Financial Planning May 1, 2008 Elizabeth O'Brien	Regulatory Tussle Independent broker-dealers and the Securities and Exchange Commission have found themselves in a tug-of-war over how best to serve clients when registered representatives depart one firm for another.
Investment Advisor July 2010 Melanie Waddell	A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.
Bank Technology News March 2010 Michael Sisk	How to Stay Online and Inbounds Combine the fast, freewheeling world of social networking sites with the conservative, highly regulated world of financial advice and the reconciliation is bound to awkward.
Financial Advisor July 2011 David Lawrence	Learning To Socialize Integrating social media into your advisory practice takes careful evaluation to get the most from what it has to offer.
Registered Rep. September 2, 2009 John Churchill	SEC Blew It With Madoff, Inspector General Says SEC Chairman Mary Schapiro announced the release today of the Office of the Inspector General's report on the Bernard Madoff fraud. It says, in short, the SEC screwed up in every way possible.
Registered Rep. September 19, 2011 Diana Britton	More Advisors Using, Prioritizing Social Media, Survey Says Not only are more advisors using social media for business purposes, but more are making it a priority.
Investment Advisor August 2009 Bob Clark	Clark at Large: Something About Mary The drive to reregulate financial advice shifted into high gear on June 17, when the Obama Administration released its white paper containing proposals for 21st Century Financial Regulatory Reform, and passes it to SEC chair Mary Shapiro.
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 2, 2011 Kristen French	Raymond James, Commonwealth to Give FAs Free Reign on Social Media In other words, they will be able to post tweets, updates and comments that have not been pre-approved in real time.
Registered Rep. May 7, 2010 Kristen French	Bulk Up On Disclosure, Shock Aborbers Needed, Says Ketchum The industry must move forward to improve the quality and kinds of disclosures firms provide to clients, particularly disclosures about the services provided.
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.
Financial Planning March 1, 2010	What's Happening to Regulation? Whether we like it or not, we do live in a post-Madoff world, and it's impossible to separate his crimes from the dialogue surrounding regulatory reform.
Registered Rep. March 1, 2008	Client Complaints: To Report Or Not To Report When a registered rep should report client complaints.
Investment Advisor June 2010 Marlene Y. Satter	Tenacity The financial crisis gave independent B/Ds a drubbing from which they've yet to fully recover, according to the IA 2010 broker/dealer survey.
Registered Rep. June 16, 2011 Diana Britton	Securities America Jumps on the Social Media Bandwagon Independent broker/dealer Securities America announced its new social media program, which will allow all of its 1,800 reps to access and post content on Facebook, LinkedIn and Twitter.