Similar Articles

Browse Main Topics:

Business
Computers & Electronics
Education & Reference
Entertainment & Leisure
Family & Home
Finance & Investment
Health
Internet
Pets & Animals
Science & Technology
Society, Politics & Culture
Sports & Recreation

Similar Articles

On Wall Street March 1, 2012 Alan J. Foxman	Regulators Redefine Assets Advisor Q&A: Do I have discretionary authority with my clients?... Do we now count the variable annuities sub-accounts?...
On Wall Street September 1, 2011 Alan J. Foxman	To Share Or Not to Share (Revenue) I'm preparing to merge my small brokerage firm with a registered investment adviser. Do we have to wait for FINRA approval before we can close the transaction?
On Wall Street September 1, 2010 Mark Astarita	Denying Advisors A Legal Forum As part of the Dodd-Frank Wall Street Reform Act, Congress has given the SEC the authority to prohibit or impose conditions upon the use of pre-dispute arbitration agreements by brokerage firms and federally registered investment advisors.
Financial Planning March 1, 2007 Mike Suppappola	Compliance Tips New Soft Dollar Rules: Is Your Firm Ready?
The Motley Fool January 22, 2007 Selena Maranjian	What Do Wills Really Do? Wills probably do more than you expected. Here are some examples.
Financial Advisor June 2007 Gavin Morrissey	Bonus Copy: Avoiding Probate and Problems Why is avoiding probate so important? And how can you ensure that your financial advisory clients' assets will avoid probate without disrupting the flow of those assets under the original estate plan? Let's take a look.
The Motley Fool May 15, 2006	What a Will Does A will probably does more than you expected. It can save you and your loved ones money, for one thing.
Financial Planning January 1, 2006 Jane Worthington	Soft Dollars: The SEC's New Guidelines The revised SEC interpretation of its safe harbor provision in October 2005 ended months of speculation among money managers as to whether soft dollars can still be used to purchase investment research.
Registered Rep. June 1, 2007	The Great Re-Sell How will registered reps re-position themselves with clients who have fee-based brokerage accounts?
The Motley Fool December 1, 2006	Avoid Probate Probate can be complicated, but it can be avoided if you learn about it and take some actions.
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...
Registered Rep. December 18, 2002 Rick Weinberg	Supreme Court Favors Arbitration in Brokerage Cases The Supreme Court has reaffirmed its stance that the arbitration forum is the proper venue for deciding brokerage cases.
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 October 1, 2012 Alan J. Foxman	Brokering the Commission Split Our legal analyst explores commission sharing and FINRA disclosure rules.
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.
On Wall Street February 1, 2011 Alan J. Foxman	Reading The Fine Print Advisors write in for legal advice regarding contracts, client lawsuits, non-compete agreements and other concerns.
The Motley Fool July 30, 2004	What Do Wills Really Do? Don't neglect preparing a will. It can help you in more ways than you think.
On Wall Street January 1, 2012 Alan J. Foxman	The Disclosure Dilemma When and what needs to be disclosed on the U4?
Registered Rep. September 14, 2011 Andrew J. Haigney	Opinion: FINRA's Land Grab Provisions of the Dodd-Frank Act are effectively forcing brokerage firms to convert their retail operations to the investment advisory model. But brokers need not worry, it looks like "the fix is in."
BusinessWeek November 19, 2007 Anne Tergesen	Should You Buy from an Adviser? Brokerage firms may have incentives to push securities in their inventories.
Registered Rep. August 1, 2006 Bill Singer	Grave Mistakes These examples show how well-meaning advisors can get tripped up by ignoring the rules that apply to a deceased client. Client Withdrawal Symptoms... Deadly Spree... Lending a Warm Hand... Execution After Death... etc.
Financial Planning June 1, 2007 Bob Veres	Victory, for Now Brokerage firms have little choice but to adapt to a world in which their traditional service -- clearing trades and executing transactions -- has become "solely incidental" to the increasingly valuable business of providing advice.
The Motley Fool February 25, 2004 Selena Maranjian	All About Probate Know what to expect when someone dies. Probate can be a complicated hassle that can take away roughly 5-10% of the estate.
On Wall Street August 1, 2010 Alan J. Foxman	Getting A Good Arbitrator How FINRA selects arbitrators... Arbitrators don't need intimate knowledge of the brokerage industry...
The Motley Fool July 15, 2005	All About Probate Probate can be a hassle. Learn about it now and minimize your headaches.
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.
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.
On Wall Street January 1, 2010 Alan J. Foxman	Blamed for ARS He Didn't Sell Misrepresenting auction-rate securities... BrokerCheck public disclosure system...
The Motley Fool January 18, 2011 Selena Maranjian	Protect Yourself From Your Brokerage When you invest in stocks, you accept some risk. Your stocks may drop in value, shrinking your investment. That kind of risk is unavoidable, but other brokerage-related risks are not.
Registered Rep. April 30, 2008	FINRA Fines American Funds FINRA spanked the fund giant for "directed brokerage," a now-banned practice of directing trades to the trading desks of top-selling brokerages.
The Motley Fool January 17, 2007 Dan Caplinger	Insuring Your Investments Several entities combine to protect assets in various accounts. Although all of these organizations provide some protection for investors, it's still best to avoid having to go through the process of dealing with an insolvent financial institution in the first place.
On Wall Street December 1, 2008 Alan J Foxman	Sipc Insures Select Cases Brokers are unsure what to tell clients about SIPC coverage, as well as the rationale on arbitration disputes.
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...
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?
The Motley Fool February 25, 2009 Dan Caplinger	Start Investing and Earn an Extra Bonus If you're looking for a new broker in today's sophisticated financial world, you really should think about finding one with bells and whistles that open up a range of investments.
Registered Rep. March 1, 2005 Daniels, Leibell & Prince	Estate of Uncertainty The 2001 tax reform act built uncertainty into the estate-planning process.
AskMen.com Michael Estrin	Personal Finance: Inheritance 101 Here's a broad overview of the issues you'll face when a relative, friend or even an acquaintance leaves you an inheritance.
The Motley Fool December 21, 2006 Dan Caplinger	How to Contest a Will Although will contests are sometimes necessary to correct injustices, they are rarely successful and always demand a great deal of personal and legal effort.
On Wall Street August 1, 2012 Alan J. Foxman	FINRA's New Suitability Rule I'm a compliance officer for a small brokerage firm. I'm a little confused by FINRA's new suitability rule. What, if anything, extra does it require us to do?
The Motley Fool May 11, 2011 Selena Maranjian	Sneak a Peek at Your Broker's Record Find out whether your broker has been in trouble.
Financial Planning July 1, 2012 Bob Veres	Gaps of Logic FINRA has been an effective bludgeon against the small independent B-D world, creating paperwork requirements whose costs are best amortized over larger hordes of retail advisors.
Investment Advisor June 2007 Melanie Waddell	SEC Won't Appeal Court Ruling The SEC has decided not to appeal the recent ruling which exempted brokers from being subject to regulation as investment advisors in fee-based brokerage accounts, on the basis that the SEC had exceeded its authority under the Investment Advisers Act of 1940.
Registered Rep. November 1, 2005 John Churchill	Passing On Louisiana has the dubious distinction of being the last state to still require designated beneficiaries to submit to probate proceedings in order to gain ownership of securities accounts upon the death of the accounts' original owner.
Registered Rep. May 1, 2007	The Great Reckoning Whatever the specific business impact the Merrill Lynch ruling may have, many see the return to pre-1999 rules as a chance for the brokerage industry, which has long avoided fiduciary duty for business and regulatory reasons, to overcome those obstacles and embrace it.
Financial Planning March 1, 2011 Bob Veres	Gold Into Straw In mid-January, the SEC released its "Study on Investment Advisers and Broker-Dealers" to Congress. Analyzing the study provides an insightful look into how the SEC views the "harmonization" of two different regulatory structures.
Registered Rep. June 27, 2007 John Churchill	Court Okays 120 Days to Move Fee-based Brokerage Accounts Broker-dealers got the breathing room they hoped with regards to complying with the recent court ruling that outlaws fee-based brokerage accounts.
The Motley Fool September 14, 2004	You Can Avoid Probate A little planning now can save your loved ones lots of hassle.
The Motley Fool March 7, 2006	Brokerage Account Insurance Investors, don't count on SIPC insurance if your stocks plunge.
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?...
Registered Rep. January 13, 2003 Gaffen & Geracioti	Wachovia-Prudential: For Real This Time? Can you say Pru-chovia? Prudential Securities and Wachovia Securities are very close to an agreement to join forces, one that was scuttled earlier in the year, reportedly due to differences in who would control the unit.