May 14, 2012
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
Tag
SEC
174 articles
Articles tagged "SEC"
Page 6 of 12May 10, 2012
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
May 2, 2012
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
Apr 26, 2012
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
Apr 13, 2012
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'
Mar 7, 2012
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
Feb 22, 2012
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
Feb 17, 2012
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
Jan 23, 2012
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
Jan 6, 2012
SEC sends sharp warning to advisors using social media
RIAs have to make sure they don't get 'liked' on popular websites like Facebook
Jan 5, 2012
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
Nov 11, 2011
RIAs need to take a hard look at their use of soft dollars
Some advisors are landing in hot water with the SEC
Oct 17, 2011
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
Aug 12, 2011
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.
Jul 13, 2011
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