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On Wall Street
November 1, 2011
Alan J. Foxman |
The Uncooperative Client Questions about negligent clients, trademarks, and email archiving are discussed.   |
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.
June 1, 2007 |
The Great Re-Sell How will registered reps re-position themselves with clients who have fee-based brokerage accounts? |
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? |
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... |
Investment Advisor
June 1, 2011
Thomas D. Giachetti |
From Deadlines to Lifelines The SEC extension of registration deadlines provides a potential grace period for stressed out advisors. |
Financial Advisor
August 2009
Eric Rasmussen |
Wish Upon An 'IAR' RIA or IAR? Registered investment advisor or independent advisor representative; the anagram you choose will depend on how big you are and how independent you want to be. |
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. |
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. |
Financial Planning
September 1, 2006
David Spinar |
Even the Playing Field Congress needs to standardize the regulations for investment advisors and broker-dealers. |
Wall Street & Technology
November 18, 2005
Maria Wakem |
E-Mail Contention While most financial services firms are now compliant with SEC e-mail retention rules, the problem of selecting the best technology for the job still persists and is largely due to confusion among compliance and IT departments regarding what needs to be accomplished. |
Financial Planning
October 1, 2006
Elizabeth O'Brien |
Bookshelf The RIA's Compliance Handbook by Elayne Robertson Demby is a comprehensive guide for registered investment advisors. Readers can earn 20 hours worth of CFP continuing education credits by passing a 35-question exam located in the back of the book. |
Financial Planning
October 1, 2008
Ingrid Case |
Doing Due Diligence If buying another firm is part of your business plan, the following article can help you ask the questions and check the records that can shed light on whether a potential purchase will likely turn out to be an asset or a liability. |
Registered Rep.
December 1, 2015
Diana Britton |
Old-Fashioned Exams Financial advisor exams vary in their requirements, but for any individual looking to work in a brokerage firm or sell investments, the Series 7 exam is the mandatory gateway. |
Financial Planning
March 1, 2011
Donald B. Trone |
All for One... A uniform fiduciary standard of conduct, coupled with harmonized regulations, should dramatically improve the process for investors. |
On Wall Street
November 1, 2012
Mason Braswell |
Regulators Cite Trouble Spots Are firms doing all they can when it comes to handling material non-public info? |
Financial Planning
October 1, 2008
Jane Worthington |
Document Requests Every registered advisor can expect an SEC staff examination and document request. To ease your firm through the process of delivering the documents in a timely manner, it's important to ensure that documents are easily accessible. |
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? |
CFO
February 1, 2005
Ronald Fink |
Finders Keepers The SEC is hearing new demands to make it easier for small companies to raise capital. |
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. |
Registered Rep.
January 1, 2007
Kevin Burke |
The Glitch A class action law suit has been filed that seeks at least $5 million for persons who took the Series 7 between Oct. 1, 2004 and Dec. 20, 2005 and received failing grades in error. |
Registered Rep.
January 6, 2006
Halah Touryalai |
NASD Mistakenly Failed Nearly 2,000 Aspiring Brokers Who Took Series 7 Last Year The NASD reported today that it is notifying 1,882 individuals that they wrongly received failing grades as the result of a software error. |
Financial Advisor
March 2011
Jeff Schlegel |
Is Uniformity Possible? Broker-dealers expect some changes if a new fiduciary standard is adopted. |
Financial Planning
October 1, 2006
William Cavell |
Compliance Tips Tips for Before and During an SEC Exam |
PC World
December 2004
Anne Kandra |
Trusting Your Health History to the Web Digitized medical records can help save lives. But are they secure enough? |
AskMen.com
Michael Estrin |
How Long To Keep Financial Records Your life may have tons of paper clutter that ranges from bills to bank statements, and everything in between. Here's some help on knowing what to keep, how long to keep it and when to dump it. |
