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Articles tagged "Dan Bernstein"


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Dan Bernstein: This does impact everyone from the largest institution to a two-person shop.

After catching Wall Street red-handed, the SEC is 'coming after' RIAs that fail to track client chats by text, WhatsApp and social media, experts say

The regulator's $1.1 billion in wirehouse fines is a warning to RIAs that not keeping proper records of online chats could paint a bulls eye on their backs as well.

October 4, 2022 at 1:41 AM

Ken Anderson: We can continue to archive the personal pages but don't have access to those messages.

How Facebook's unfriendly new privacy strictures are edging RIAs into the social media monster's business-page boonies

Third-party data culling and archiving firms like Hearsay and Smarsh are scrambling for workarounds as the data spigot runs dry and new compliance challenges loom

September 24, 2015 at 6:10 PM

Brian Hamburger: The Bill's supporters are promoting a devious shell game to hinder the growth of an industry that has flourished by doing the right thing for investors.

Brian Hamburger hammers the FINRA SRO proposal in a letter

In his muscular style as a lawyer and insider in the regulatory realm, the MarketCounsel principal pulls no punches

June 5, 2012 at 10:53 PM

Daniel Bernstein: If an advisor posted that they 'held a great meeting on 401(k) plans,' and someone 'liked' it, it could be construed as a testimonial.

SEC sends sharp warning to advisors using social media

RIAs have to make sure they don't get 'liked' on popular websites like Facebook

January 6, 2012 at 3:20 PM

Daniel Bernstein: No one should be running their businesses on stuff which may never come to fruition.

The dark side of the 'good' regulatory changes get scrutinized at MarketCounsel Summit 2011

Advisors may get much of what they wish for but in reality it may not be so good

October 17, 2011 at 3:17 AM

Nick Georgis:  We do not support a SRO for the RIA industry. Schwab has had conversations with SEC staff to share this point of view.

Custodians defend their records in having RIA backs in battles for the fiduciary standard and against FINRA takeover

TD Ameritrade has publicly made some regulatory efforts for advisors and other say they mostly do it behind the scenes

November 23, 2010 at 5:39 AM

Denise Voigt Crawford: Advisors who haven't had an SEC audit recently -- or ever -- should expect an examiner's knock on the door soon after they switch to state oversight.
August 25, 2010 at 12:56 PM

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