Jun 4, 2010
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
Tag
SEC
174 articles
Articles tagged "SEC"
Page 10 of 12Jun 4, 2010
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
May 14, 2010
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
May 7, 2010
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
May 6, 2010
Debate continues: Fiduciary standard no panacea
Financial Services Institute advocates for study, deliberate look at investor protection
May 5, 2010
The suitability standard, defined
If you've wondered, as we have, exactly what it says, wonder no more
Apr 28, 2010
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
Apr 27, 2010
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
Apr 16, 2010
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
Apr 5, 2010
What financial advisors can expect from Washington this spring: 8 predictions
Financial reform will move forward, but regulation will move backward
Mar 22, 2010
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
Mar 16, 2010
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
Mar 10, 2010
Proposal would sweep RIAs, planners, brokers into one huge regulatory pool (Updated)
New board promoting the fiduciary standard would oversee 75,000
Mar 5, 2010
Why the New York Times fiduciary article won't deter the special interests
Consumer-protection regulations rarely get stiffer in the legislative process
Feb 26, 2010
FINRA guidance may help RIAs avoid social media blunders
Even employees' LinkedIn profiles ought to be supervised