Articles tagged "SEC"
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14 tips for how to act when the SEC auditor is in your office
No need to be a doormat but treat the visitor as a guest
January 14, 2010 at 6:39 AM
Elizabeth witnesses a mock audit first hand and feels the advisor's pain
Mock audits are in hot demand because they cut back on regulatory blindsiding
January 13, 2010 at 5:59 AM
2010 to-do list for RIAs: Get out of the comfort zone, avoid SEC problems
Marketing and compliance resolutions that start with the Internet and end at the gym
January 12, 2010 at 5:31 AM
'Unthinkable' progress was made on creating a new regulatory world for advisors in 2009
Change is in the air but upcoming Senate elections complicate prospects for 2010
December 17, 2009 at 3:23 PM
SEC details new "Madoff fix" custody rules
Advisor groups relieved: no surprise audits for RIAs with third-party custodians
December 16, 2009 at 9:43 PM
Blogging: The costs and risks of hoarding your thoughts are rising
It's a new way for financial advisors to stay relevant with clients
December 16, 2009 at 4:10 AM
Advertising practices that can raise the hackles of regulators
Photos, staff plaudits and hypotheticals are still testimonials by any other name
November 19, 2009 at 4:05 PM
Martin Kurtz, president of Financial Planning Association for 2011, will take pragmatic approach
Electee has concerns about FINRA's historical 'suitability' mindset
November 13, 2009 at 10:52 PM
The quick and easy route to getting your RIA license suspended
Renewal gauntlet begins next week with a moved-up deadline
November 6, 2009 at 5:05 AM
Worst of both worlds looms for RIAs in Washington
Act would gut the authority of SEC over RIAs while doubling its budget
November 4, 2009 at 11:49 PM
The big change RIAs should expect when the SEC punts to the states
Advisors under states see more audits, tougher registration requirements and busybody lawmakers
November 4, 2009 at 4:34 AM
SEC one step closer to losing oversight of most RIAs
But will budget-crunched states do a better job?
October 28, 2009 at 4:26 AM
Eight things necessary to keep RIAs from answering to SIFMA
Multiple strategies needed to counter deficit in numbers
October 15, 2009 at 5:47 AM
Feds happily punt to states on advisor oversight
Move would take 33% of RIAs off of SEC's plate
October 6, 2009 at 9:55 PM
SIFMA's Taft makes anti-suitability comments but the fee crowd is wary
Mercer Bullard says that tiger is showing its stripes
