Sep 28, 2010
It's looking official: Advisors switching to state oversight to face many more audits
State securities regulators, SEC issue first solid answers on some commonly asked questions for 4,000 advisors in limbo
Tag
SEC
174 articles
Articles tagged "SEC"
Page 9 of 12Sep 27, 2010
What we all feared: 'Better' disclosure yields worse results, according to Yale professor's study
At an exclusive think-tank style conference on the Potomac, industry leaders heard the psychology behind investors' rosy view of the world.
Sep 23, 2010
Frustration mounts: Experts, RIAs identify six most important unknowns about the switch to state oversight
SEC announced time frame for proposed rules
Sep 21, 2010
When it comes to senior investors, regulators are breathing down your shoulder
A Colorado advisor who oversold hedge funds may pay a price
Sep 16, 2010
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
Sep 2, 2010
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
Aug 31, 2010
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
Aug 25, 2010
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
Aug 13, 2010
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
Jul 27, 2010
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
Jul 26, 2010
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
Jul 22, 2010
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
Jun 30, 2010
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
Jun 22, 2010
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
Jun 17, 2010
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