Articles tagged "SEC"
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Publish date
When it comes to senior investors, regulators are breathing down your shoulder
A Colorado advisor who oversold hedge funds may pay a price
September 21, 2010 at 3:26 AM
Signed, sealed, delivered: Fiduciary advocates hope SEC takes their new survey for gospel
In pressure cooker of Washington, D.C., nothing looks certain, especially after Tea Party wins
September 16, 2010 at 2:21 AM
Now, the SEC wants you to be a writer, too?
ADV Part 2 form calls for clear language, and detailed descriptions even of the people working for you
September 2, 2010 at 4:32 AM
Old foes in the fiduciary debate join new battle to sway SEC's six-month study
Advocates were working down to the wire to submit comments by the end of yesterday
August 31, 2010 at 5:31 AM
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 at 12:56 PM
A cap on 12b(1) fees is going to have one predictable result. Think carnival games.
What consumers need is not a cap, but some sunshine to disinfect mutual funds
August 13, 2010 at 4:10 AM
One-Man Think Tank: The SEC's custody examinations leave gaps big enough for Madoff to drive a bus through
How to reassure clients who are seeing Ponzi after Ponzi unveiled
July 27, 2010 at 1:57 AM
How financial reform gives the SEC new bite; plus at least five other things advisors ought to know about the legislation
The new financial world will be constructed mostly out of the public eye, as regulators begin studying 150 issues Congress punted to agencies
July 26, 2010 at 3:36 AM
How the new 12b(1) fee restrictions could transform the financial advisory industry
Brokers selling 401(k) plans may have another nail driven into their coffin
July 22, 2010 at 3:56 AM
Hello! The SEC wants your records by tomorrow
One advisor had a day to produce voluminous records. That's the kind of request likely to grow more common as the SEC performs more unscheduled audits
June 30, 2010 at 6:40 AM
Why advisors see FINRA as the devil
A conversation with Richard Brueckner and Mark Tibergien lends perspective to this widely held view by RIAs of the b/d regulator
June 22, 2010 at 5:12 AM
As House and Senate talk compromise, Barney Frank hints at a win for fiduciary advocates
In Washington end game, the fiduciary standard hangs in the balance between Barney Frank and Tim Johnson
June 17, 2010 at 4:45 AM
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
June 4, 2010 at 5:03 AM
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
June 4, 2010 at 5:02 AM
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
