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SEC Warns Never Before Examined Advisors - We're Coming!
For Small BDs And Clearing Firms, FINRA Legal Action Serves As a Cautionary Tale On...
SEC Bars Four CPAs For Audit Failure; Rare Prosecution Of CPA Auditors For Failing To Fulfill Their...
SEC Rewards Whistleblower With $150,000 Payout; This Is One Part Of Dodd Frank That Is Working
Summarizing The Current Position Of Stakeholders In Decision On Naming FINRA To Oversee RIAs
Massachusetts Settles Allegations With Five Independent Broker Dealers For Improper Sales Of...
Consumer Financial Protection Board Weighs In On Senior Advisor Designations; Says SEC, States, And...
Comments & Reviews
Agluck on GoToMeeting Deleted Today’s Webinar,...
Problems is I cannot even contact the list of registrants. It's gone! But I don't want to...
FamaFiduciary on GoToMeeting Deleted Today’s Webinar,...
Andy, I can imagine that you were pulling your hair out over this unfortunate turn of...
Prince on GoToMeeting Deleted Today’s Webinar,...
Thank you for your detailed explanation. Best wishes to Antia for a quick recovery. ...
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Identity Theft Rule Adopted By SEC; Provides New Guidance And Red Flags About How BDs and RIAs Must...
Former SEC Chair Schapiro Reportedly Joining Consulting Firm; Another Former Regulator Cashes In On...
Responding To Financial Crisis, Britain Overhauls Its Regulators
SEC Wants Data And Comments About Harmonization Of The Rules Governing The Way RIAs Deliver Advice...
Former SEC Chair Levitt Says Since SEC Did Not Pursue Money Fund Reform, FSOC Certainly Should
FINRA Reissues Controversial Business Practice Rules Of 2010
POGO Report Shows Possible Influence Of Wall Street Executives On SEC Policy And Enforcement...
FINRA Puts SRO Priority On Back Burner, Noting Little Momentum In Congress In Support Of The Measure
FINRA Pulls Proposal To Eliminate 5% Rule As A Result Of Commentary
FINRA Creates Interim Form For Crowdfunding Portals And Will Use Information Gathered To Formulate...
FINRA Opens Comment Period On Compensation Disclosure Rule That Would Include Disclosing Signing...
Wells Fargo Advisor Who Bilked At Least A Dozen Clients Makes Front-Page News In Today’s New York...
Hedge Funds Will Become More Of A Target For SEC When JOBS Act Provision Is Enacted
SEC Extends For Two Years Principal Trading Rule For Non-Discretionary Accounts
AdvisorOne Conducts Advisor Poll Weighs In On Who Should Be Schapiro's Successor And What Should Be...
Social Media Compliance Imbroglio At Netflix Illustrates Risk Securities Firms And Professionals...
Implementation Of Proposed Private Issuer Advertising Rule May Result In Litigation For SEC In 2013
SEC Chairman Mary Schapiro To Step Down In Three Weeks
Don Trone Weighs In On Whether CFPs Who Work For Broker/Dealers Can Adhere to CFP Board’s...
Advisor, A Prominent Utah Republican Fundraiser, Suspended As CFP After Being Charged With Sexually...
SEC Agrees To Propose Rule With 30-Day Comment Period That Would Allow Issuers Of Private Investors...
No Criminal Case Likely In $1 Billion Loss At MF Global; Is America Any Better At Policing...
SEC's Schapiro Steps Up Efforts To Ensure Integrity And Capacity Of Computer Program Traders
Government Accountability Office (GOA) Says FINRA Should Review 10 Of Its Rules
Bachus Backtracks After Democrats Introduce Bill Saying SEC Should Regulate RIAs; A Surprising Turn...
With So Little Action On Dodd-Frank Over The Past Two Years, Many Are Dubbing It Dud-Frank
Dodd-Frank Mandates Registering Municipal Advisors But Congressional Committee Says SEC's Proposed...
Letters From Failed Suicide Attempt Of PFGBest CEO Reveal Lack Of Regulatory Oversight As Well As...
New Privacy Laws Being Passed By A String Of States May Conflict With FINRA Social Media Rules
Advisors React to FINRA’s New Suitability Rule; Problems Likely For Dually Registered Advisors
Dodd-Frank Legislation To Be Reviewed During Entire Month Of July
Why Is CalPERS Always Getting Appointed To Head Investor Protection Efforts? If You Want To Protect...
SEC's New Investor Advisor Committee Focuses On Investor Needs Rather Than Fiducairy Status Of...
Congressional Hearing On Bachus-McCarthy Bill Yields Inconlusive Delay
Bachus-McCarthy Bill Exempts Those With Wealthier Clients, Leaving Small Firms To Bear The Bulk Of...
FINRA Comes Up Short In Examination By Government Accountability Office
FINRA As SRO Battle Heats Up As Industry Participants Form Lobbying Group
Controversy About Facebook's IPO Has Little To Do With Its Effectiveness As A Marketing Tool
If You Get A Letter Of Inquiry From FINRA, The Best Action Is To Answer It
Benchmarking Target Date Funds Should Be An Easy Decision: Procedural Prudence
The Battle Between SIFMA And The Institute For The Fiduciary Standard Heats Up
Cost-Effectiveness May Derail DOL's Expanded Application Of "Fiduciary"
New Bill Will Propose FINRA As Industry SRO
SEC Forms New Committee In Line With Dodd-Frank
IRS Gets Involved In Monitoring Municipal Bond Transactions
Does Advising On IRAs Make You A Fiduciary And Can A Computer Model Absolve You Of Your Fiduciary...
Deadline For Switch To State Regulation Is Extended
Schwab Is Instituting Automatic Suitability Warnings On Exchange Traded Notes (ETNs)
New Survey Says Dodd-Frank Will Help Restore Client Trust
Clients Need Greater Disclosure And Clear Language In Choosing Advisors
Fiduciary Capacity Isn't A Term That Only Applies To You; It May Also Apply To Your Clients
Cottage Industry Springs Up Around Compliance In Use Of Social Media
Congressional Pressure Is Building For Fiduciary Redefinition
The SEC Is Updating Its Technology Systems To Better Detect Fraud
Are Registered Reps Capable Of Acting In A Fiduciary Manner?
More Comment Time Needed For Fiduciary Redefinition
Five Compliance Areas To Focus On For In 2012
SEC Staffing Up Fast To Monitor...Hedge Funds, Derivative Traders
Investment Banks Take A Harder Look At Conflicts Of Interest
Mets Blame Their Madoff Woes On Too Much Trust In The SEC
Former Owners Of First Allied Securities Get SEC Probe Notice
Shoot The Fiduciary Messenger? Or Use The Debate To Spark Propitious Thinking...
Advisors May Come Under Greater Risk With New FINRA Award Levels
Congress Reveals Priorities For The SEC While Denying Budget Increase Request
Staffing Details Of Mary Schapiro's $245 Million SEC Budget Increase Request May Be Unintentionally...
A Financially Literate Society Could Be A Boon To Advisors
Despite SEC Claims, New Enforcement Activity Has Actually Declined
Compliance Officers' Supervisory Role Remains Nebulous At The SEC
SEC Impersonator Not Winning Friends At The Regulator
FINRA Requests Comment On Ways To Increase Investor Use Of BrokerCheck: My Suggestion Is To...
Chair Of House Committee Supporting FINRA As Regulator Of RIAs Faces Insider Trading Probe
FINRA Goes After "No Class Action" Waivers, Starting With Schwab
Religious-Themed Ponzi Schemes Still Preying On Investors
No Supreme Court Ruling On Claims The NASD Lied To Create FINRA
FINRA Foes Look To The Supreme Court To Lay Down The SRO Law
Insurance Broker Aon Pays $16 Million To Settle Charges That It Bribed Prospects To Sign Up
Willie Gault Under Fire: Another Sports Pro Feels The Pain Of SEC Scrutiny
Congress Scrapes Up Another $136 Million For The SEC, But Will That Ease The Regulatory Crunch?
New SEC Commissioner Already Eager To Drag His Feet
Corzine Was An Active Anti-Regulation Lobbyist, But Remains Mystified How His Own Firm Bent Rules
One-Time Financial Planner Arrested For Tax Evasion
Ex-Chief Of Schwab's Funds Gets His Slap On The Wrist From YieldPlus Failure
SEC Confesses It Will Probably Never Be Able To Supervise RIAs As Often As Congress Wants
FINRA Chief Says Making Jon Corzine Take His Exams Like Everyone Else Would Have Been 'Mindless'
Failed CapWest Private Placements Continue To Plague Colorado Ex-Broker
Giving Corzine A Free Pass On His Registrations Gives FINRA Another Black Eye
District Judge Challenges SEC Settlement System As More "Half-Baked Justice"
Department of Labor Cracking Down On ERISA Advisors' Disclosure And Pay
Enemies Of The RIA SRO Turn To The Senate
Shady Life Coach Was Running More Traditional Ponzi Scheme On The Side, SEC Says
Surprise Court Decision Questions FINRA's Power To Collect Its Fines
FINRA Endorses Congressional SRO Bill As "Exactly" The Right Direction
State Regulators Issue Guidance On The Five Most Common Deficiencies Of Investment Advisors
South Dakota Ponzi Scheme That Touched Edward Jones Is Now On The Radar Of FBI Agents, Securities...
Ex-NBA Guard Charged With Preying On Other Pro Athletes In $2 Million Ponzi Scheme
FINRA Litigators Got Tougher After The Credit Crash, But The SEC Loses More Cases
Former SEC Lawyer Tells Congress Madoff Conflict-Of-Interest Charges Against Him Are Overblown
Mary Schapiro Takes New Findings On Former Top Lawyer's Madoff Conflict Of Interest "Very Seriously"
CFP Board Derides Arguments That Fiduciary Standard Narrows Investor Choice
Video: Congressional Panel On Advisor Regulation
Project On Government Oversight Slams FINRA And Says Self-Regulation Is Not Real Regulation
Mastermind Of Old-Fashioned Ponzi Scheme Sentenced To 14 Years In Jail
Congressional Hearing On Advisor Regulation Coming Next Week
Five Brokerage Firms Punished For Nebulous "Handling Fees"
FINRA Slapped With Age Bias Lawsuit
Dodd-Frank Doesn't Have To Be Expensive, Compliance Officers Say
Big Surprise: Advisors Nervous About Regulation Are Spending More On Compliance
Rogue Sales Assistant Costs Citigroup $500,000 In FINRA Fines
Texas Insurance Agent Faces Up To 170 Years For Selling $5 Million In Fake Annuities
SEC Shifts The Hot Seat On Structured Product Sales From Due Diligence To Suitability
Mary Schapiro Still Committed To Universal Fiduciary Standard, Warns On SEC Funding Issues
Sad Case: Houston Advisor Under SEC Investigation Kills Self, Revealing Dark Side Of...
Dodd-Frank Costing $417 Million This Year, According To New GAO Report
Rogue Currency Trader Brought Back To U.S. To Face Charges
Lawyers Tell Advisory Firms To Be Ready To Investigate SEC Whistleblower Claims On Their Own
Partisan Bickering Sinks Investigation Into Financial Crisis Panel's Controversial Conclusions
Dodd-Frank "Too Popular" To Kill Outright, Barney Frank Says
Mary Schapiro Farms Out SEC Office Leasing Responsibilities After "Flawed" $500 Million Deal
SEC Examiners Cracking Down On Unsuitable Sales Practices And Annuities While FINRA Tackles...
High-Living New Hampshire Advisor Charged With Taking $1.9 Million From A Client
SEC Approves New "Switch" Rule for Mid-Sized Investment Advisors
Switch Of Mid-Size RIAs To State Supervision Is Official
SEC Approves Separate Registration For Backoffice Staff, But Lawyers Still Worry
Decisions On Fiduciary Standard And Regulator Of RIAs Delayed Officially
DOL Beefing Up Enforcement Of Retirement Plans
SEC Proposes Deeper Scrutiny Of Broker-Dealers
Obama Nominates Securities Lawyer To SEC, But Don't Expect It To Speed Up Decisions On Regulatory...
SEC Shuts Down "Major League Baseball" Celebrity Prospecting Scheme
SEC Updates Congress On Ponzi, Porn, Other Scandals
SEC Shutting Down Alleged Fake Investment Scheme That Lasted A Full 20 Years
SEC Internal Probe Blasts The Regulator's Office Space Usage As Wasteful And Overly Ambitious
New Advisor Regulatory Burden Will Actually Be "Modest," Analysts Say
Securities America Settles Medical Capital Holdings Case With Massachusetts For $5 Million
Ameriprise Fined $50,000 For Waiting Two Years To Punish Broker Who Forged Paperwork
SEC Deflates Belgian "Royal" And His Alleged $6 Million Ponzi Scheme
Banks, Congress Still Bickering Over Consumer Finance Bureau
Would Relaxing The Rules On Capital Reserves Help Or Hurt Broker-Dealers?
Michael Oxley Explains What He's Doing As A Lobbyist For FINRA
Funding Compromise For SEC May Be Worst Of Both Worlds
What The SEC Plans To Do If The Government Shuts Down
New House Budget Proposal Trims Dodd-Frank But Leaves Most Of The Reforms Intact
Movement To Repeal Dodd-Frank Reaches Senate, But The Argument Is Confusing
Don't Expect A Unified Fiduciary Standard Before The Third Quarter, SEC Says
SEC Now Facing Legal Pressure From Allen Stanford's Aggrieved Clients
New Dalbar Certification Gets The Jump On A Universal Fiduciary Standard
Fighting The Regulators Pays Off For A Shocking Number Of Firms Accused Of Misconduct
Elizabeth Warren Can't Catch A Break For The CFPB
Schapiro To House: SEC Needs $1.4 Billion To Hire 780 New People
TD Ameritrade Institutional Introduces Veo One, the Next Generation Advisor Technology Platform
TD Ameritrade Institutional Offers Registered Investment Advisors a Talent Pipeline for Tomorrow's...
TD Ameritrade Institutional Survey Finds RIAs Are Upbeat and Ready to Compete in 2015
Small Data Is Better Than Big Data
A Client Portal For Financial Planners To Build A Business On (55-Second Video)