Articles tagged "SEC"
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Under fire, BrightScope says it will allow advisors to update simple information for free
Company slams SEC as obstructionist
May 5, 2011 at 2:52 PM
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
April 14, 2011 at 1:16 PM
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
April 12, 2011 at 2:48 PM
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'
March 11, 2011 at 3:26 PM
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
March 1, 2011 at 6:09 AM
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.
February 11, 2011 at 1:40 PM
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
January 28, 2011 at 1:17 PM
(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
January 24, 2011 at 3:16 PM
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
January 24, 2011 at 2:54 PM
How 10 top groups define 'fiduciary'
Obama administration, SEC, FINRA, FPA, fi360, U.S. Supreme Court and SIFMA raise fiduciary bar to different heights
January 21, 2011 at 4:24 AM
(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
January 20, 2011 at 2:36 PM
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
January 17, 2011 at 4:18 PM
Schwab takes high-profile stand opposing self-regulatory organization for advisors
Largest custodian opposes FINRA on heavily lobbied issue
January 14, 2011 at 3:09 PM
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
January 14, 2011 at 3:05 PM
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)
