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Investment Advisor
August 2010
Melanie Waddell |
Will the States Be Able to Regulate Big RIAs? State regulators and the Securities and Exchange Commission (SEC) will meet soon to iron out the details of shifting nearly 4,000 advisors from federal to state supervision.   |
The Motley Fool
December 26, 2006
Dan Caplinger |
The SEC's Gift to You: Part 2 By giving the investing public access to information, and serving as a regulator with the power to take action to correct problems, the SEC works hard to protect investors. |
Registered Rep.
February 18, 2004
John Churchill |
SEC Puts Forth Mutual Fund Rules Proposals The SEC has put forth three proposals that could drastically change the way mutual funds are sold. |
On Wall Street
April 1, 2013
Kenneth Corbin |
SEC Zeros In on Potential Conflicts of Interest The regulator's staff will investigate nondisclosures, misrepresentations, and more. |
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? |
The Motley Fool
December 26, 2006
Dan Caplinger |
The SEC's Gift to You Securities regulation helps guard investors against fraud. |
Registered Rep.
April 6, 2005
John Churchill |
SEC Adopts Broker-Dealer Exemption Over the vociferous objections of fee-only financial planners, the SEC voted unanimously to permanently adopt the broker/dealer exemption rule, formerly known as the Merrill Lynch exemption. |
Financial Advisor
November 2011
Evan Simonoff |
What Gives At The SEC? For several decades, the Securities and Exchange Commission has contended that it does not have sufficient resources to examine and inspect RIAs. Consequently, many have concluded that Finra is the default option for all RIA regulation. |
Registered Rep.
May 9, 2007
Christina Mucciolo |
Morgan Stanley to pay $7.96 Million for Best Execution Fraud The SEC announced that Morgan Stanley will pay penalties to settle the charges against the firm for failing to provide best execution to clients. |
Investment Advisor
November 17, 2010
Thomas D. Giachetti |
Will You Stay SEC Registered in 2011? Regulatory changes could cause confusion for advisors |
Financial Planning
November 1, 2009
Robert Pozen |
Think Twice Congress is seriously debating legislation that would significantly expand the coverage of the Investment Advisers Act, empower the SEC to make rules on advisor compensation and increase the likelihood of lawsuits against advisors. |
Registered Rep.
August 29, 2012
Jerry Gleeson |
Blotter: September 2012 A former ESPN commentator and college football Hall of Fame coach and his colleague defrauded 97 investors in an $80 million Ponzi scheme, the SEC said. |
Financial Planning
October 1, 2010
Brian Hamburger |
Regulation Season A look forward at the real effects of regulatory change - and they could be as unattractive as they are expensive. |
Registered Rep.
September 3, 2008
John Churchill |
Brokers Charged In Fraudulently Selling $1bn Of ARS To Retail Clients In the first case of its kind, the SEC announced today that it has charged two individual financial advisors with fraud related to the sale of more than $1 billion in auction-rate securities. |
Investment Advisor
February 2007
Thomas D. Giachetti |
When Should You Register? Should an investment advisor with $30 million of "assets under management" register with the SEC? It depends on whether the advisor has "qualifying" assets under management. |
Financial Advisor
May 2006
Andrew Gluck |
New Rule Causes Software Schizophrenia New financial software programs for advisors reflect the difference between fiduciary and suitability requirements. |
Registered Rep.
March 30, 2007
John Churchill |
Surprise! FPA Wins Lawsuit Against SEC and the Broker-Dealer Exemption Three years after suing the SEC over the controversial "Broker Dealer Exemption" rule, a federal court has ruled that the SEC exceeded its authority in adopting the rule. |
On Wall Street
February 1, 2010 |
Five Questions with David Tittsworth David Tittsworth has served in all three branches of government and discusses ways to police the advisory business. |
On Wall Street
June 1, 2010
Mark Astarita |
Tilting the Litigation Landscape Against the Financial Industry Current reform proposals could radically alter the broker-client relationship. |
Financial Planning
July 1, 2005
James A. Barnash |
Why We're Suing The FPA president explains the lawsuit over the SEC's broker-dealer rule that exempted certain broker-dealers from disclosure standards that apply to investment advisers and most financial planners. |
The Motley Fool
May 20, 2004
Tim Beyers |
American Express Unit in Scandal The broker could be a target of a regulatory inquiry into mutual funds revenue-sharing. How can you tell if your own broker or advisor has a conflict of interest? |
Registered Rep.
July 5, 2012
Kristen French |
Blotter: July 2012 One of the biggest-ever Ponzi schemes in South Florida was busted in May... The SEC charged Quantek Asset Management, a Miami-based hedge fund advisor with lying to investors... |
Registered Rep.
May 14, 2007
John Churchill |
"Merrill Lynch" Rule Dead, But SEC to Ask for Time The securities industry still hopes that the SEC will somehow come up with a new plan to keep the fee-based brokerage account from coverage by the Investment Advisers Act of 1940, which mandates that to offer financial advice, you have to be a fiduciary. |
Investment Advisor
May 2010
David Tittsworth |
What a Reinvigorated SEC Will Mean for You The first in a series of occasional commentaries by the executive director of the Investment Adviser Association. |
Registered Rep.
July 30, 2012
Kristen French |
Blotter: August 2012 Among other actions, in July, the SEC charged former Connecticut resident Jerry S. Williams, a stock promoter, and two companies that he controlled, Monk's Den and First In Awareness, with civil fraud. |
Investment Advisor
April 1, 2011
Thomas D. Giachetti |
Dodd-Frank: An Overview Of Pending Changes For Investment Advisors Dodd-Frank deadlines are fast approaching. Are you ready? |
Registered Rep.
October 6, 2004
Leitch & Gaffen |
Raymond James Fights the SEC's Fraud Charges The SEC brought fraud charges against the Tampa-based firm, saying the firm had looked the other way when a former broker scammed investors of approximately $44.5 million between 1999 and 2000. |
Registered Rep.
December 1, 2006
John Churchill |
Blotter Shelf Space No No... Broker Gets 14 Years... |
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. |
Registered Rep.
June 3, 2009
David Geracioti |
ARS Games -- SEC Blames Firms, Settles with BAC, RBC and DEUTSCHE When the auction rate securities market froze up in February 2008, angry clients blamed their financial advisors. |
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. |
InternetNews
September 21, 2007
David Needle |
Steve Jobs to Testify in Backdating Case Apple CEO Steve Jobs has reportedly been subpoenaed by the Securities and Exchange Commission to testify in a stock-options back-dating case against Apple's former general counsel, Nancy Heinen. |
Registered Rep.
April 8, 2005
John Churchill |
`Merrill Rule' Debate Not Over The SEC unanimously voted to allow Series 7 holders, or registered reps, to position themselves as financial advisors -- with certain caveats. But once again the SEC seemed to hedge its bet. So the debate rages on. |
Investment Advisor
March 2008
Bob Clark |
The Empire Strikes Back Wall Street's crafty response to its whipping over the Merrill rule. |
Commercial Investment Real Estate
Nov/Dec 2013
Taylor & Trowbridge |
Group Investing Update Changes to securities laws may change your business model. |
Investment Advisor
March 1, 2011
Melanie Waddell |
SEC Fiduciary Rule May Hit by Summer Despite the advisory industry's hopes that the Securities and Exchange Commission would get a quick start on writing a rule to put brokers under the same fiduciary standard as advisors, it looks as though a rulemaking could come by summer. |
Financial Planning
July 1, 2007
Marshall Eckblad |
Funds and Games Several regulatory issues are floating around the SEC. Will any of them get resolved? |
Investment Advisor
March 2007
Melanie Waddell |
States' Rights The North American Securities Administrators Association's agenda includes preserving state regulators' authority. |
Registered Rep.
September 15, 2010
Kristen French |
Investors Think Insurance Agents, Brokers Are Fiduciaries Investors believe everyone who provides financial advice is already a fiduciary, according to a survey released Wednesday by a group of investment adviser and consumer protection groups. |
Financial Advisor
October 2012
Brian Hamburger |
Sleight Of Hand The apparent death knell of Finra as an SRO by no means signals victory. |
Registered Rep.
May 1, 2012
Kristen French |
Blotter: May 2012 Ephren W. Taylor II just wanted to write books and hear his wife sing, in a manner of speaking. Problem is he needed other people's money to make that happen, nearly $11 million of other people's money. |
Investment Advisor
August 2009 |
B/D News Broker/Dealer news: SEC Enforcement... BOA and broker protocol... FINRA surveys retail sales practices... |
The Motley Fool
June 5, 2007
Rich Duprey |
SEC Backs Scheme Liability In an effort to deflect the criticism that it's too pro-business, the SEC has decided to back a theory that may ultimately prove to be a particularly shareholder-hostile action. |
BusinessWeek
May 20, 2010
Jesse Westbrook & David Scheer |
How Big a Hit Will Goldman Take? Congress and the public expect the SEC to extract a big fine |
On Wall Street
July 1, 2009
Mark Astarita |
The SEC's "Feel Good" Committee The Securities and Exchange Commission announces the formation of an Investor Advisory Committee, which it says will give investors a greater voice in its work. |
CFO
February 1, 2005
Ronald Fink |
Finders Keepers The SEC is hearing new demands to make it easier for small companies to raise capital. |
InternetNews
March 9, 2007
Clint Boulton |
SEC Cracking Down on Spam 'Pump and Dump' The SEC has suspended securities trading of 35 companies as part of a new crackdown on market manipulation via spam. |
InternetNews
February 28, 2006
Roy Mark |
Feds Bust $50M Online Ponzi Scheme A North Carolina woman and her two companies settled federal charges that she operated a classic Ponzi scheme that generated $50 million on her paid "autosurf" Web site. |
Registered Rep.
December 1, 2005
Andrew Osterland |
Brokering Advice The essential difference between brokers and registered advisors, say financial planners, is fiduciary duty. The notion that b/ds have a lighter burden of regulation than registered advisors, however, is something the securities industry vigorously disputes. |
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. |
