Articles tagged "Dan Bernstein"


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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 — 6:10 PM UTC

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 — 10:53 PM UTC

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 — 3:20 PM UTC

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 — 3:17 AM UTC

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 — 5:39 AM UTC

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

August 25, 2010 — 12:56 PM UTC
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