Articles tagged "SEC"
Headline
Publish date
Avoiding FINRA oversight may depend on talking sense to an options-trading House Republican
Spencer Bachus, known to expertly trade options for his own account, seems to be down with what transactions-based advisors like
April 26, 2012 at 5:37 AM
Fearful that the SEC has been overworked, lobbied and bullied into a SIFMA stupor, fiduciary crowd launches 16-page missile
Among other things, the letter calls SIFMA's idea of a uniform fiduciary standard a 'broker sales standard'
April 13, 2012 at 3:44 AM
Schwab wins long-awaited green light from the SEC on alternative-assets distribution
The no-action letter on a DTCC standard may pave the way for custodians to create supermarkets of hedge funds
March 7, 2012 at 3:47 PM
Lost in limbo: How and why compliance officers can seem to thwart RIA marketing efforts
CCOs have valid reasons for poring over the content of any proposed articles coming from their firm -- but they owe you a quick response
February 22, 2012 at 3:52 AM
New rule threatens to drive millions of investors out of money market funds, ICI chief warns
Paul Schott Stevens and a very blunt John Bogle air their views at the Bloomberg Portfolio Manager Mash-Up Conference in New York
February 17, 2012 at 7:16 AM
Think about compliance before sending or posting those articles you read
A new SEC alert gives updated guidance regarding the pitfalls of using social media
January 23, 2012 at 4:40 PM
SEC sends sharp warning to advisors using social media
RIAs have to make sure they don't get 'liked' on popular websites like Facebook
January 6, 2012 at 3:20 PM
Recent SEC enforcement actions make annual policies and procedures exams even more important
Sprucing up your compliance manual early and often can prevent the SEC leaving coal in your Christmas stocking
January 5, 2012 at 4:59 AM
RIAs need to take a hard look at their use of soft dollars
Some advisors are landing in hot water with the SEC
November 11, 2011 at 5:14 AM
The dark side of the 'good' regulatory changes get scrutinized at MarketCounsel Summit 2011
Advisors may get much of what they wish for but in reality it may not be so good
October 17, 2011 at 3:17 AM
Top 10 tips for the 'social' financial professional when creating your LinkedIn profile
A search will often produce a professional's LinkedIn profile before his or her website.
August 12, 2011 at 5:11 AM
Time for chief compliance officers to get tough and get smart, or else
Double-checking, delegating (giving virtual head slaps) and becoming a student of the Investment Advisers Act of 1940 are part of the deal
July 13, 2011 at 1:58 PM
Cheat sheet for recent SEC regulatory changes and amendments
Why 'assets under management' are now 'regulatory assets under management'
July 7, 2011 at 2:25 PM
Examiners may ask “Says who?” about your advertisements
RIAs may run afoul of the SEC by using superlatives like "unparalleled" and "unique"
June 21, 2011 at 2:23 PM
Why compliance experts are apt to dislike Facebook
When does a click constitute an endorsement?
