Jul 7, 2011
Cheat sheet for recent SEC regulatory changes and amendments
Why 'assets under management' are now 'regulatory assets under management'
Tag
SEC
174 articles
Articles tagged "SEC"
Page 7 of 12Jun 21, 2011
Examiners may ask “Says who?” about your advertisements
RIAs may run afoul of the SEC by using superlatives like "unparalleled" and "unique"
May 13, 2011
Why compliance experts are apt to dislike Facebook
When does a click constitute an endorsement?
May 5, 2011
Under fire, BrightScope says it will allow advisors to update simple information for free
Company slams SEC as obstructionist
Apr 14, 2011
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
Apr 12, 2011
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
Mar 11, 2011
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'
Mar 1, 2011
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
Feb 11, 2011
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.
Jan 28, 2011
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
Jan 24, 2011
(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
Jan 24, 2011
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
Jan 21, 2011
How 10 top groups define 'fiduciary'
Obama administration, SEC, FINRA, FPA, fi360, U.S. Supreme Court and SIFMA raise fiduciary bar to different heights
Jan 20, 2011
(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
Jan 17, 2011
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