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Registered Rep. September 11, 2014 Megan Leonhardt	Cybersecurity Breaches Not Rare, Just Undetected A new study by the North American Securities Administrators Association found only 4 percent of small to mid-sized RIA firms have experienced a cybersecurity attack.
Commercial Investment Real Estate Sep/Oct 2015 Alan Lyons	Cyber Scares Protect your real estate business from online security breaches.
Financial Advisor March 2005 Tracey Longo	The Watchdog Inside Your Firm The SEC is making your chief compliance officer a whistleblower. Advisors' success with regulators in 2005 will depend largely on whether they trip themselves up or are able to create a business model that is better aligned with their clients.
Financial Planning April 1, 2012 Bob Veres	21st Century Regulation What is the best way to regulate fiduciary RIAs? How best can we identify and weed out bad apples and better protect consumers in the process?
CRM September 2012 Kelly Liyakasa	Cracking the Code on Cyber Crimes Despite efforts to proactively protect customer data, computer intrusions and online fraud are on the rise.
Registered Rep. August 16, 2013 Lauren Barack	Hackers At The Gate "FINRA expects cyber security to remain a regulatory focus for the foreseeable future," Susan Axelrod, FINRA's executive vice president for Regulatory Operations said at the PLI Seminar in October.
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.
Financial Planning April 1, 2010 Brian Hamburger	Full Disclosure Protecting client privacy is one of the most important responsibilities of any financial advisor. And it's about to become one of the most time-consuming and highly regulated aspects of the business as well.
Financial Planning October 1, 2006 John E. Gebauer	Your Mailbox Is Full For investment advisors, the regulations for email retention remain murky, but applying some best practices can help.
InternetNews November 23, 2009	IBM Outlines Top Security Trends for 2010 IBM's X-Force security team sees cyber crooks getting social and heading for the clouds.
Registered Rep. April 1, 2007	Turf Wars Over Advice The age-old debate between the b/d and investment advisor (RIA) industries over who should be able to provide advice and when, and whose regulatory regime offers better investor protections, is far from over.
Financial Planning March 1, 2013 Kenneth Corbin	SEC Registration Deadline Looms As annual registration nears, compliance experts warn RIAs to be cautious about their numbers.
Registered Rep. February 1, 2013 Megan Leonhardt	Ten Tips That Could Prevent Cyber Criminals from Hijacking Client Data As tablet ownership continues to grow -- doubling since 2011 -- and more than half of U.S. consumers owning a smartphone, according to a 2013 Forrester Research report, advisors need to be more vigilant about data security now more than ever.
Investment Advisor January 1, 2011 Melanie Waddell	FINRA Jockeys for SRO Spot as SEC Report to Congress Nears The Financial Industry Regulatory Authority is engaged in a full-court press to convince the SEC that it should be the SRO for advisors.
Investment Advisor July 2010 Melanie Waddell	A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.
Financial Advisor July 2009 Sherri Scordo	Compliance Concerns There's a lot of buzz these days about potential changes in compliance rules and the impact on advisors.
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.
Investment Advisor June 2008 Mark Tibergien	Truth and Consequence Are more regulations for the financial services sector really needed, or just better enforcement of what's now on the book?
CIO April 25, 2014 Lucian Constantin	5 Things You Need to Know About Cybersecurity Insurance Cybersecurity insurance transfers some of the financial risk of a security breach to the insurer. But it doesn't do a good job of covering the reputation damage and business downturn that can be triggered by a security breach.
Registered Rep. May 9, 2011 Gleeson & Britton	New SEC Disclosure Rules Dismay Some Advisors; Advisor Disciplinary Histories in Welcome Packets New SEC rules that require federally-registered advisors to disclose their disciplinary histories in brochures and provide them to clients will get under way in earnest by the end of the summer.
Investment Advisor April 1, 2011 Ron Rhoades	An Alternative to FINRA Oversight "I expect FINRA and its allies to continue to push to extend its jurisdiction to some or all investment advisors," says Investment Adviser Association Executive Director David Tittsworth.
Investment Advisor February 2008 Thomas D. Giachetti	Is an IPS the Answer? Investment Policy Statements can be helpful, but remember, longer documents aren't always better.
Investment Advisor March 2010 James J. Green	B/D News Bulletins and news of interest to broker/dealers from FINRA and the SEC.
Investment Advisor March 2006 Melanie Waddell	Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away.
Insurance & Technology September 14, 2004 Peggy Bresnick Kendler	Framework for Security Insurers need effective security infrastructures to withstand online threats from hackers and cyber criminals, as well as lapses by unaware internal users.
On Wall Street April 1, 2013 Donald Jay Korn	Ultra-Wealthy Wary of Trusting a Single Advisor While ultra-wealthy individuals tend to put their trust in wealth managers, the bad news is most tend to use multiple advisors.
Financial Advisor September 2005 Bruce W. Fraser	How To Survive The SEC Assault Advisors cite a new, more demanding compliance environment. Despite the extra financial and time burden, many advisors feel much better about their businesses, having gone through the compliance process.
Financial Advisor December 2010	Frontline News RIAs Transferred To States May Get Dual Exams... Piqued By Peak Oil... The Art Of The Referral... etc.
Investment Advisor August 2006 Thomas D. Giachett	Expert's Corner: A Process, Not a Destination With the advent of SEC Rule 206(4) 7, which requires SEC-registered investment advisors to implement and maintain policies and procedures appropriate for their investment advisory business, it is more critical than ever for all RIAs to recognize that compliance is an ongoing process.
Investment Advisor October 2007 Melanie Waddell	Making Compliance Headway Four years after the passage of the SEC's "compliance program rule," advisors are still grappling with exactly what their annual review process should entail.
Financial Planning December 1, 2005 David J. Drucker	Dazed and Confused Most financial advisers remain uncertain about exactly how to comply with SEC e-mail retention rules. RIAs need to make decisions about what to retain, how, and how to protect it. And there's little consensus on what to do.
Financial Planning December 1, 2012 Ackermann et al.	Hot Topics TD Ameritrade Institutional's aggressive recruiting... Small RIAs move to state regulation... Rosier view for affluent investors...
Registered Rep. April 1, 2006 Janet Arrowood	Scary Story In a world where financial lawsuits regularly make headlines, advisors that ignore their E&O coverage do so at great risk to their careers and their pocket books. Legal fees alone can crater a wallet.
Investment Advisor July 2007 Melanie Waddell	Protect Yourself It's an annoying but necessary task: here's the latest intelligence on how to guard your financial practice from both the regulators and your clients.
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.
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.
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.
Registered Rep. May 24, 2011 Lauren Barack	Cyber-Hackers: Faster, Better Equipped Than You Security should be the responsibility of all employees - not just the chief technology officer, or the principal of an advisory firm.
Financial Planning September 1, 2013 Rachel F. Elson	Commonwealth Financial's Big Fee-Based Bet Commonwealth Financial Network already stands out for its revenue mix. Now it has a new model for RIAs.
Registered Rep. March 3, 2010 Kristen French	New Social Networking Site Targets FAs LinkedFA is a new website is trying to cash in on the social networking craze and resolve some of the thorny regulatory questions that social networking sites raise for financial advisors.
Investment Advisor July 2006 Thomas D. Giachetti, esq.	Expert's Corner: Passing Muster Is your electronic record keeping up to SEC snuff? Financial advisors should exercise discretion and diligence regarding electronic record retention and communication procedures. When in doubt, retain the hard copy original or make a phone call.
Insurance & Technology November 5, 2008 Peggy Bresnick Kendler	Virtual Roundtable: Online Risk Industry experts discuss how to manage the risks, liabilities, and solutions associated with electronic processes and interactions related to conducting business over the Internet.
Investment Advisor June 2009 Thomas D. Giachetti	Expert's Corner: Complacency, Risk and the SEC Often advisors become complacent with respect to compliance, but all RIAs must recognize that compliance is an ongoing process requiring the review/update/amendment of regulatory filings, disclosures, and procedures.
Investment Advisor January 2006 Melanie Waddell	The Playing Field: SEC Inspectors Unit Under Fire After repeated complaints from broker/dealers, mutual funds, and investment advisors about the SEC's new sweeps examination process, Congress is threatening to abolish the SEC's Office of Inspections and Examinations (OCIE).
Wall Street & Technology November 17, 2003 Jim Middlemiss	Under Attack Forget about locking the windows and the doors, financial-services firms now have far more to fear from worms, horses and bugs.
Registered Rep. June 4, 2012 Lauren Barack	The Fishbowl Effect As financial advisor ratings websites like BrightScope and Advice IQ proliferate, advisors are going to have to get comfortable with having their records a click away from clients and prospects.
InternetNews July 28, 2010	Most Data Breaches Perpetrated by Cyber Gangs Organized crime syndicates, many of them based or operated from outside the U.S., are overwhelmingly to blame for coordinated cyber attacks, according to a study by Verizon and the U.S. Secret Service.
InternetNews July 28, 2010	Cyberattacks Hit Businesses With Big Bills New study from Ponemon Institute and security vendor ArcSight details rising cost of cyber-attacks, with businesses reporting at least one major attack a week.
Registered Rep. October 19, 2011 Diana Britton	Registered Rep/Wealth Management.com Research: Indies, Insurers Take Lead on Social Media RIAs, independent broker/dealers and insurance companies are taking the lead in social media usage, ahead of wirehouses, regional firms and bank brokerages.
Financial Advisor March 2012 Bernie Clark	The Changing Affluent Investor Advisors must prepare for new affluent clients and the changes, attitudes and expectations they will bring with them.