Articles tagged "SEC"

	Title	Date Published
	An advisor fee bill hits Congress again, this time gaining qualified support from RIA groups Rep. Maxine Waters' bill, which would require fees from advisors for the SEC, is unlikely to pass, but groups say it will push off FINRA efforts for now	Monday 4.22.13
	Does Barron's really have a bead on the best financial advisors in America? The famed Top Advisor Rankings by State is an established and influential ranking but its criteria are murky and therefore misleading, according to this veteran who also vets RIAs	Thursday 3.21.13
	FINRA is making dog whistle comments hinting its SRO ambitions still simmer 'Harmonization' comments by Richard Ketchum make all the talk of the group abandoning its RIA-oversight ambitions seem like bunk	Monday 3.18.13
	RIA loyalists slam the SEC for playing into FINRA's darkest characterizations of haplessness Is the Securities and Exchange Commission asking for more cash to examine RIAs, getting it, then spending it on other priorities?	Friday 3.1.13
	FINRA's regulatory white flag may be a pause before it plays white knight to SEC's cash-starved damsel Brian Hamburger, David Tittsworth and Pat Burns see no gain in breathing easy with so many endgame possibilities still in play	Friday 2.8.13
	The SEC needs to clean up its semantics before accusing RIAs of inflating AUM Advisors stretching for the $100-million mark advisors need to be told what assets to count and which ones are merely hanging out	Monday 1.28.13
	Op-Ed: The fiduciary standard is in worse shape than it was four years ago The teachable moment of Lehman's collapse seems to have dissipated, and forces of dissimilation are winning the day	Friday 1.11.13
	SEC may tackle RIAs claiming to have 'skin in the game' Heed the cautionary tale of the recent $1.6 million settlement against an RIA and its affiliated B-D that falsely claimed they co-invested in a fund	Friday 12.28.12
	Analysis: Beware of a FINRA bearing gifts for RIAs The broker regulator takes another step towards ruling RIAs by making its arbitration process open to them	Friday 12.7.12
	With SEC coming down hard, TV and radio star RIA principal in San Diego makes his case to listeners The commission says Ray Lucia back-testing is questionable but some high-profile defenders take his side	Wednesday 9.19.12
	Before taking a self-imposed vow of silence, Ron Rhoades sounds off on the RIA industry and tells what's it's like to hit a professional wall The outspoken NAPFA chairman-who-wasn't covers why the Bachus bill will rise again, the true fix for RIA exams and why the term 'fee-based' is inherently 'fraudulent'	Monday 8.27.12
	Why Bachus' SRO-that-must-not-be-named would prove a tyrant to RIAs The author says that as a private corporation endowed with governmental powers, FINRA is unsafe at any speed	Friday 8.24.12
	Amazed and confused: Advisors struggle to make sense of Bachus' Wall Street Journal Op-Ed salvo House panel chief dives back into the oversight fray, but confusion persists over timing, intentions	Tuesday 8.7.12
	Older investors' complaints deserve -- and receive -- special scrutiny from regulators Examiners give seniors the benefit of the doubt in a complaint, making it imperative to keep meticulous records focusing on not just the 'what' but the 'why' of investment decisions	Tuesday 7.17.12
	What happened when two advisors traveled to D.C. to be heard Neal Hokanson and Chris Cannon, separately but with the same mission, felt like they created 'aha' moments for presumed FINRA advocates	Thursday 6.21.12
	TD Ameritrade's 2012 Elite Advisor Summit gathers $89 billion of RIA assets under one Laguna Beach umbrella Fresh off a week of D.C. intensity, the annual event crackled with strong opinions and offensive strategies	Friday 6.15.12
	RIAs flood Capitol Hill with protests against a SRO-FINRA future on the day of the Bachus Bill hearing Schwab's Clark and TD's Schweiss lead the charge, arriving in D.C. with impassioned advisor missives predicting an 'avalanche of costly regulation'	Wednesday 6.6.12
	Barbara Roper sends stern letter to Rep. Bachus raising new FINRA-as-SRO issues Consumer Federation of America: Smaller firms would bear the brunt of costs and broker/advisor confusion may only increase under the contemplated bill	Monday 6.4.12
	Non-partisan watchdog group writes a scathing letter about FINRA POGO, which uncovered the Pentagon's famed $7,500 coffee maker, says the would-be SRO is basically rife with conflicts of interest	Thursday 5.31.12
	An in-depth analysis of FINRA's attempted takeover of RIAs and why the group should be disbanded, Part 2 FINRA's aim is to stamp out small RIAs that compete with its large Wall Street firms. Don't let it happen, pleads NAPFA's new chairman	Thursday 5.31.12
	Why FINRA's power grab for RIAs needs to be stopped to avert the death of the profession, Part 1 Looking back from the year 2025, the author recounts how FINRA seized regulatory control and crushed the life out the once-thriving RIA channel	Wednesday 5.30.12
	Duane Thompson says Bachus bill will croak in Congress but others see danger aplenty The FPA veteran who spearheaded the killing of the 'Merrill Lynch Rule' outlines his vision of compromise on the SRO issue	Tuesday 5.29.12
	How JPMorgan's PR mojo downgraded a $3-billion PR typhoon to a five-day squall Availability, self-criticism and starting from a position of credibility all helped short-circuit the relentless media laser	Wednesday 5.23.12
	FINRA comes up with cost projections for its SRO and the CFP Board blasts them FINRA is still angry that Boston Consulting Group did not consult them and says they created numbers "out of thin air"	Monday 5.14.12
	Review: What the SEC did right and wrong with the redesign of its website It's less of a bureaucratic maze but the image slideshow is over the top	Monday 5.14.12
	What the SEC is up to with its website's fancy new look The redesign is a nod to social media and a recognition that it needs the public	Monday 5.14.12
	PR firms must recognize that RIAs answer to a higher authority There is such a thing as bad press -- a disclosure that seems 'a bit much' to your public relations firm may be just enough to land you in a compliance hot spot	Thursday 5.10.12
	A big California RIA fires off a letter to Rep. Bachus decrying FINRA as SRO pick Neil Hokanson offers a boots-on-the-ground perspective about why changes brewing in Washington are bad for consumers and advisors alike	Wednesday 5.2.12
	Avoiding FINRA oversight may depend on talking sense to an options-trading House Republican Spencer Bachus, known to expertly trade options for his own account, seems to be down with what transactions-based advisors like	Thursday 4.26.12
	Fearful that the SEC has been overworked, lobbied and bullied into a SIFMA stupor, fiduciary crowd launches 16-page missile Among other things, the letter calls SIFMA's idea of a uniform fiduciary standard a 'broker sales standard'	Friday 4.13.12
	Schwab wins long-awaited green light from the SEC on alternative-assets distribution The no-action letter on a DTCC standard may pave the way for custodians to create supermarkets of hedge funds	Wednesday 3.7.12
	Lost in limbo: How and why compliance officers can seem to thwart RIA marketing efforts CCOs have valid reasons for poring over the content of any proposed articles coming from their firm -- but they owe you a quick response	Wednesday 2.22.12
	New rule threatens to drive millions of investors out of money market funds, ICI chief warns Paul Schott Stevens and a very blunt John Bogle air their views at the Bloomberg Portfolio Manager Mash-Up Conference in New York	Friday 2.17.12
	Think about compliance before sending or posting those articles you read A new SEC alert gives updated guidance regarding the pitfalls of using social media	Monday 1.23.12
	SEC sends sharp warning to advisors using social media RIAs have to make sure they don't get 'liked' on popular websites like Facebook	Friday 1.6.12
	Recent SEC enforcement actions make annual policies and procedures exams even more important Sprucing up your compliance manual early and often can prevent the SEC leaving coal in your Christmas stocking	Thursday 1.5.12
	RIAs need to take a hard look at their use of soft dollars Some advisors are landing in hot water with the SEC	Friday 11.11.11
	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	Monday 10.17.11
	Top 10 tips for the 'social' financial professional when creating your LinkedIn profile A search will often produce a professional's LinkedIn profile before his or her website.	Friday 8.12.11
	Time for chief compliance officers to get tough and get smart, or else Double-checking, delegating (giving virtual head slaps) and becoming a student of the Investment Advisers Act of 1940 are part of the deal	Wednesday 7.13.11
	Cheat sheet for recent SEC regulatory changes and amendments Why 'assets under management' are now 'regulatory assets under management'	Thursday 7.7.11
	Examiners may ask “Says who?” about your advertisements RIAs may run afoul of the SEC by using superlatives like "unparalleled" and "unique"	Tuesday 6.21.11
	Why compliance experts are apt to dislike Facebook When does a click constitute an endorsement?	Friday 5.13.11
	Under fire, BrightScope says it will allow advisors to update simple information for free Company slams SEC as obstructionist	Thursday 5.5.11
	Potential whistleblowers have little to lose and millions to gain with the SEC's reward system Here's how to keep complaints from turning into tip-off phone calls	Thursday 4.14.11
	Deadline for state registration may have shifted; SEC's Robert Plaze offers clarity It's nice, but it's not a rule, say compliance experts, regulators frustrated by amorphous situation	Tuesday 4.12.11
	Eavesdropping on the IAA: JP Morgan exec challenges advisors on FINRA SRO remains overarching concern; many advisors haven't finished their ADVs; anxiety rises about 'the switch'	Friday 3.11.11
	One-Man Think Tank: Four red flags in the SEC's fiduciary report The standard may help right an economy overweighted by finance, but there's a strong chance Wall Street will block it	Tuesday 3.1.11
	Tom Bradley makes the case for regulatory efficiency -- and maybe, FINRA, especially for the dually registered TD Ameritrade's chief says it's too soon to reject any idea out-of-hand.	Friday 2.11.11
	The RIABiz list of winners and losers in the wake of the SEC's fiduciary study The race is on as laggards adapt to new vision of the future	Friday 1.28.11
	(Updated) Groundbreaking SEC study would smash old regulatory system, creating fiduciary brokers and more regulated advisors Controversy and conflict emerge as SIFMA, Schwab and others begin to react	Monday 1.24.11
	One-Man Think Tank: SEC courage likely to be tested in coming months Study on fiduciary standard may be the most significant advance for investor protection in a half-century, but real progress will be made rule by rule	Monday 1.24.11
	How 10 top groups define 'fiduciary' Obama administration, SEC, FINRA, FPA, fi360, U.S. Supreme Court and SIFMA raise fiduciary bar to different heights	Friday 1.21.11
	(Updated) SEC presses case for user fees in much-anticipated report to Congress While giving downsides for the idea of an SRO to govern advisors, the SEC opens the door for Congress to consider all options	Thursday 1.20.11
	What advisors care about: technology, hiring, Schwab's lawsuit against a broker hit top RIABiz stories this month A new platform for alternative assets, plus the regulatory moves expected this year also make the list	Monday 1.17.11
	Schwab takes high-profile stand opposing self-regulatory organization for advisors Largest custodian opposes FINRA on heavily lobbied issue	Friday 1.14.11
	Advisory factions steel for end game as SEC's verdict on FINRA SRO comes down As action moves to Congress, a flurry of meetings and Schwab's appearance	Friday 1.14.11
	The 7 government actions that could reshape the advisory business in 2011 Funding may derail some grand plans, but regulations roll on (and so do tax threats)	Friday 1.7.11
	Why a swing-and-miss on fiduciary standards will haunt us for decades An ounce of good sense now could save the U.S. economy a pound of unnecessary pain downstream	Thursday 12.23.10
	The marketing naughty and nice list Catchwords and strategies likely to draw regulators' ire -- and others that pass anyone's test	Thursday 12.23.10
	Most RIAs prefer to pay money for SEC exams now than pay in blood later under an SRO TD Ameritrade survey comes as resistance to FINRA empowerment wells up from wide array of organizatioms	Friday 12.10.10
	One-Man Think Tank: The fiduciary standard may sink Wall Street's advisors-on-yachts. Should we care? How much should a professional investment advisor make?	Tuesday 12.7.10
	The biggest questions about the switch to state oversight: You tell us RIABiz posts its first reader survey on an issue affecting a massive number of RIAs	Tuesday 12.7.10
	One-Man Think Tank: With even governments abandoning pension plans, investors are being tossed to the fee-hungry wolves Disclosures don't deal with the psychological issues of risk aversion, overconfidence, and cognitive dissonance.	Thursday 12.2.10
	Yesterday's proposed DOL regs underscore why default investments are the 401(k) market's giant untapped opportunity Regulators' so-far soft approach on target date funds leaves door open for advisors to compete	Tuesday 11.30.10
	SEC's new pay-to-play rules call for you to investigate your employees' political giving Surprisingly broad regs kick in next quarter, covering RIAs that do business with the government	Tuesday 11.30.10
	Is FINRA oversight a fait accompli? It's starting to feel that way. IAA's Tittsworth says advisors still have the chance to play up small-business angle to submarine legislation	Tuesday 11.23.10
	One-Man Think Tank: What would Adam Smith say about the fiduciary standard? As the SEC ruminates, the invisible hand lurks and Rhoades finds support for a strong standard in unlikely places	Monday 11.22.10
	One-Man Think Tank: Would your investment strategy stand up in court? Advisors should apply due diligence not only to products and suitability, but to their overall approach, says the new ADV form.	Wednesday 11.3.10
	So you're an RIA. Be careful about calling yourself one, says the SEC Beware of using the term as focal point for marketing; some states may have competing regulations	Monday 10.11.10
	It's looking official: Advisors switching to state oversight to face many more audits State securities regulators, SEC issue first solid answers on some commonly asked questions for 4,000 advisors in limbo	Tuesday 9.28.10
	What we all feared: 'Better' disclosure yields worse results, according to Yale professor's study At an exclusive think-tank style conference on the Potomac, industry leaders heard the psychology behind investors' rosy view of the world.	Monday 9.27.10
	Frustration mounts: Experts, RIAs identify six most important unknowns about the switch to state oversight SEC announced time frame for proposed rules	Thursday 9.23.10
	When it comes to senior investors, regulators are breathing down your shoulder A Colorado advisor who oversold hedge funds may pay a price	Tuesday 9.21.10
	Signed, sealed, delivered: Fiduciary advocates hope SEC takes their new survey for gospel In pressure cooker of Washington, D.C., nothing looks certain, especially after Tea Party wins	Thursday 9.16.10
	Now, the SEC wants you to be a writer, too? ADV Part 2 form calls for clear language, and detailed descriptions even of the people working for you	Thursday 9.2.10
	Old foes in the fiduciary debate join new battle to sway SEC's six-month study Advocates were working down to the wire to submit comments by the end of yesterday	Tuesday 8.31.10
	What advisors should know about the next sweeping change: the switch from SEC oversight to state regulation It could impose most on advisors spread out across multiple states	Wednesday 8.25.10
	A cap on 12b(1) fees is going to have one predictable result. Think carnival games. What consumers need is not a cap, but some sunshine to disinfect mutual funds	Friday 8.13.10
	One-Man Think Tank: The SEC's custody examinations leave gaps big enough for Madoff to drive a bus through How to reassure clients who are seeing Ponzi after Ponzi unveiled	Tuesday 7.27.10
	How financial reform gives the SEC new bite; plus at least five other things advisors ought to know about the legislation The new financial world will be constructed mostly out of the public eye, as regulators begin studying 150 issues Congress punted to agencies	Monday 7.26.10
	How the new 12b(1) fee restrictions could transform the financial advisory industry Brokers selling 401(k) plans may have another nail driven into their coffin	Thursday 7.22.10
	Hello! The SEC wants your records by tomorrow One advisor had a day to produce voluminous records. That's the kind of request likely to grow more common as the SEC performs more unscheduled audits	Wednesday 6.30.10
	Why advisors see FINRA as the devil A conversation with Richard Brueckner and Mark Tibergien lends perspective to this widely held view by RIAs of the b/d regulator	Tuesday 6.22.10
	As House and Senate talk compromise, Barney Frank hints at a win for fiduciary advocates In Washington end game, the fiduciary standard hangs in the balance between Barney Frank and Tim Johnson	Thursday 6.17.10
	What the ADV form of Kenneth I. Starr's RIA reveals and what to make of it It appears that Starr had his son, Ronald, as chief compliance officer	Friday 6.4.10
	Regulatory Wire: CREW report criticizes the SEC and blasts its chairman, Mary L. Schapiro, for being slow to fight fraud Measures against the Bernie Madoffs, Kenneth Starrs called insufficient; accountants on extensible business reporting language; and a strong letter from NASSA	Friday 6.4.10
	Regulatory Wire (Updated): To create a successful new regulatory regime, the biggest fears of both broker-dealers and advisors must be assuaged Plus, a DOL administrator offers hints of new 401(k) regulations to come this fall	Friday 5.14.10
	Regulatory Wire: Advisor groups long have pushed for the fiduciary standard; because of the Goldman Sachs case, they may get what they asked for, and more Senators call for ERISA-level standards of care for retail investors; also, Schapiro puts new ADV part 2 back on the radar	Friday 5.7.10
	Debate continues: Fiduciary standard no panacea Financial Services Institute advocates for study, deliberate look at investor protection	Thursday 5.6.10
	The suitability standard, defined If you've wondered, as we have, exactly what it says, wonder no more	Wednesday 5.5.10
	The SEC's unannounced compliance exams are growing more common. That means the ‘I’ll-get-to-it’ strategy is an even worse idea than before. How to test your firm’s readiness	Wednesday 4.28.10
	One-Man Think Tank: When Wall Street has investors' 'best interests' at heart, watch out As Senate is poised to take up reform, Ron Rhoades contends the movement to create a "new" fiduciary standard is a campaign of disinformation	Tuesday 4.27.10
	Regulatory Wire: Two Senators may take on fiduciary fight, but how hard will the Obama administration push for the standard? Plus, Doubts about state regulators' resources; a possible reprieve for California RIAs; and Schumer's under pressure on SEC funding	Friday 4.16.10
	What financial advisors can expect from Washington this spring: 8 predictions Financial reform will move forward, but regulation will move backward	Monday 4.5.10
	One excuse the SEC doesn't listen to: I was just following the crowd Third-party rankings misleading without the context; here's how to give it	Monday 3.22.10
	Senate proposal pushes most RIAs one step closer to state regulation Senate and house bills now both seek to wrest 75% of RIAs away from SEC oversight	Tuesday 3.16.10
	Proposal would sweep RIAs, planners, brokers into one huge regulatory pool (Updated) New board promoting the fiduciary standard would oversee 75,000	Wednesday 3.10.10
	Why the New York Times fiduciary article won't deter the special interests Consumer-protection regulations rarely get stiffer in the legislative process	Friday 3.5.10
	FINRA guidance may help RIAs avoid social media blunders Even employees' LinkedIn profiles ought to be supervised	Friday 2.26.10
	SEC's Walter looks for an easier way out on fiduciary question Johnson amendment gains primacy as jockeying continues on the Hill	Thursday 2.25.10
	Part Two: The last advice model standing Five links on the evolutionary chain toward a profession	Monday 2.15.10
	SEC’s heightened interest in the older set means advisors should pay heed Questions of diminished capacity, appropriate investing strategy apply	Tuesday 2.2.10
	14 tips for how to act when the SEC auditor is in your office No need to be a doormat but treat the visitor as a guest	Thursday 1.14.10
	Elizabeth witnesses a mock audit first hand and feels the advisor's pain Mock audits are in hot demand because they cut back on regulatory blindsiding	Wednesday 1.13.10
	2010 to-do list for RIAs: Get out of the comfort zone, avoid SEC problems Marketing and compliance resolutions that start with the Internet and end at the gym	Tuesday 1.12.10
	'Unthinkable' progress was made on creating a new regulatory world for advisors in 2009 Change is in the air but upcoming Senate elections complicate prospects for 2010	Thursday 12.17.09
	SEC details new "Madoff fix" custody rules Advisor groups relieved: no surprise audits for RIAs with third-party custodians	Wednesday 12.16.09
	Blogging: The costs and risks of hoarding your thoughts are rising It's a new way for financial advisors to stay relevant with clients	Wednesday 12.16.09
	Advertising practices that can raise the hackles of regulators Photos, staff plaudits and hypotheticals are still testimonials by any other name	Thursday 11.19.09
	Martin Kurtz, president of Financial Planning Association for 2011, will take pragmatic approach Electee has concerns about FINRA's historical 'suitability' mindset	Friday 11.13.09
	The quick and easy route to getting your RIA license suspended Renewal gauntlet begins next week with a moved-up deadline	Friday 11.6.09
	Worst of both worlds looms for RIAs in Washington Act would gut the authority of SEC over RIAs while doubling its budget	Wednesday 11.4.09
	The big change RIAs should expect when the SEC punts to the states Advisors under states see more audits, tougher registration requirements and busybody lawmakers	Wednesday 11.4.09
	SEC one step closer to losing oversight of most RIAs But will budget-crunched states do a better job?	Wednesday 10.28.09
	Eight things necessary to keep RIAs from answering to SIFMA Multiple strategies needed to counter deficit in numbers	Thursday 10.15.09
	Feds happily punt to states on advisor oversight Move would take 33% of RIAs off of SEC's plate	Tuesday 10.6.09
	SIFMA's Taft makes anti-suitability comments but the fee crowd is wary Mercer Bullard says that tiger is showing its stripes	Tuesday 10.6.09
	Showdown set over whether RIAs stay under regulatory authority of the SEC [Updated!] SIFMA and FINRA may play for regulatory control	Tuesday 10.6.09
	Welcome to RIABiz on day one Online publication for financial advisors debuts from Sausalito, Calif.	Thursday 8.6.09

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