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Wall Street & Technology
July 26, 2004
Paul Allen |
SIA Unfurls STP Banner Again "Yes" to straight-through processing (STP), "no" to T+1. That's the message that came out of the Securities Industry Association (SIA) as it responded last month to the recent SEC concept release on ways to improve the safety and operational efficiency of the U.S. clearance and settlement system.   |
Wall Street & Technology
February 12, 2004
Anthony Guerra |
New Regs Keep BCP Center Stage After Sept. 11, NASD and the NYSE want to ensure that their members are ready if Wall Street is ever targeted again. |
OCC Bulletin
April 8, 2003 |
Interagency White Paper on Sound Practices to Strengthen the Resilience of the U.S. Financial System Business continuity sound practices developed by the FRB, SEC, and OCC to ensure the continued functioning of critical financial services |
Wall Street & Technology
February 12, 2004
Anthony Guerra |
Learning to Manage the Message As instant messaging becomes a favorite among Wall Street traders, it also garners the attention of industry regulators. |
CIO
September 15, 2003
Geoffrey James |
Auditing the Chat Line You've got instant messaging. And the accountants and regulators may want to take a look at it someday. Especially if you are in the financial services industry, instant chat missives are subject to the same kinds of document retention rules that govern paper documents and e-mail messages. |
Registered Rep.
April 1, 2005
Bill Singer |
Two-Tiered Justice? A recent SEC report shows that the NASD is far less enthusiastic about policing itself --- despite the fact that such self-regulation is part of its charter. |
Registered Rep.
March 9, 2006
Halah Touryalai |
NYSE Reg. And NASD: Merger `Em?; A Senate Committee Opens Hearings on SROs Are federal securities laws crafted in the 1930s still effective 70 years on? And, more important, is a privately owned, for-profit NYSE Group able to "self-regulate" itself without being mired in conflicts? And, as registered reps, should you care? |
Investment Advisor
December 2006
Kathleen M. McBride |
Three-Part Harmony Financial advisors, sing along as the SEC is set to look at proposals for regulatory rules that have been harmonized in an attempt to eliminate, or greatly reduce, conflicts, duplication, and confusion, in a new hybrid set of rules. |
The Motley Fool
July 5, 2006
S.J. Caplan |
Terrorism and Market Preparation The market proved itself robust in the aftermath of Sept. 11 and is more prepared and resilient now than ever to face a future threat. The industry is correctly focused more on resolving the effects of a disaster rather than pinpointing the cause. |
Wall Street & Technology
January 6, 2006
Ivy Schmerken |
Everything's Coming Up Hybrid Will a joint NYSE - NASD regulator result in the $100 million-a-year savings that the NASD is proposing in the hybrid regulation of dual member firms? |
Registered Rep.
April 1, 2007 |
Turf Wars Over Advice The age-old debate between the b/d and investment advisor (RIA) industries over who should be able to provide advice and when, and whose regulatory regime offers better investor protections, is far from over. |
Bank Technology News
January 2004
Karen Krebsbach |
IM Regs Loom For Wall Streeters Until the SEC acts, firms will follow NASD guidelines on instant messaging. |
Wall Street & Technology
October 27, 2003
Anthony Guerra |
BCP's Balancing Act Setting up a business continuity plan (BCP) is like buying insurance -- everyone wants full coverage but not everyone can afford it. |
CIO
August 15, 2003
Ben Worthen |
NASD Rules Cement Need to Preserve Instant Messages Add saving instant messages to your Sarbanes-Oxley compliance to-do list. Since the Nasdaq this summer joined the New York Stock Exchange in requiring its members to save instant messages, there's a clear precedent for what documents need to be retained under the law. |
Wall Street & Technology
February 4, 2005
Maria Santos |
Compliance As the Securities and Exchange Commission steps up its efforts to regulate the industry and protect investors, financial institutions must take proactive measures to comply with current and possible future rules before the SEC takes action against them. |
Registered Rep.
December 1, 2006
Kevin Burke |
SEC Chairman Endorses Single SRO Now that SEC Chairman Christopher Cox has made creating a single SRO for the brokerage industry a top priority, why are some suddenly wondering if it's a good thing after all? |
Registered Rep.
December 4, 2002
Ross Tucker |
Data Overload Five brokerage firms were fined $8.25 million for record-keeping violations. |
Wall Street & Technology
April 27, 2004
Ivy Schmerken |
Hedging the Risk of Instant Messaging While hedge funds enjoy the simplicity of trading via IM networks, compliance and reliability concerns have them seeking IM products with built-in archival systems. |
Wall Street & Technology
October 27, 2003
Jim Middlemiss |
IT Challenge When it comes to instant messaging, financial services firms must grapple with the fundamental question: Do you allow the deployment of multiple platforms or limit users to only one? |
Registered Rep.
September 1, 2005
Karen Jones |
Regulate Thyself (Better) Further complicating the debate over the self-regulatory organization (SRO) structure are the NYSE's planned demutalization and merger with Archipelago Holdings and Nasdaq's planned merger with Instinet Group. How will these moves affect their role as policemen of brokers? |
Wall Street & Technology
March 1, 2004 |
Getting Management on Board With Compliance Compliance and litigation readiness have blasted up the priority list of top management. Leading financial institutions have appointed general counsel into top management roles. Boards of directors are reviewing and approving technology solutions. |
Registered Rep.
April 26, 2005
Kristen French |
A Pawn Takes the Queen Charles Elliott scores one for the "little guy," and proves that sometimes it pays for a broker to take on securities regulators, despite their financial and legal heft. |
Investment Advisor
July 2010
Melanie Waddell |
A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward. |
Registered Rep.
September 1, 2005
Karen Donovan |
Under Siege Executives of broker/dealer firms are not exaggerating when they say it seems like regulators are locked into a competitive battle to collect the most pelts on Wall Street. |
On Wall Street
July 1, 2010
Alan J. Foxman |
Dueling Investigators Advisor Q&A: Why must agencies duplicate investigatory efforts?... Should I worry about reps picking up bad habits from old firms?... |
Investment Advisor
February 2007
Melanie Waddell |
Watch Out Broker/dealers and RIAs alike should ready themselves for a number of initiatives being worked on by their regulators in the New Year. |
Investment Advisor
March 2007
Kara P. Stapleton |
News & Products National Financial announced February 1 that it is expanding its alliance program... NASD has warned older Americans about the potential downside of selling their existing life insurance polices... The SEC has authorized improvements to the NASD... etc. |
Registered Rep.
November 4, 2004
David A. Gaffen |
Serenity Reigns in Boca Raton Perhaps it was the recent victory of President Bush that heartened this business friendly crowd, or the tranquil Boca Raton setting, but the annual Securities Industry Association conference exudes an oddly serene tone. |
Wall Street & Technology
September 21, 2004
Maria Santos |
Fine-tuning the BCP Sept. 10 marked the last of several SEC-approved deadlines for NASD and New York Stock Exchange members to implement business continuity standards. |
Financial Advisor
January 2004
Jay Gould |
Washed Up On The Banks Of Denial The SEC has changed its policies regarding anti-fraud consent injunctions. How should investment advisors react? |
Bank Systems & Technology
December 1, 2003
Cynthia Ramsaran |
Newer Regulations Keep Banks On Their Toes When it Comes to Content Compliance demands highlight need for enhanced content management strategies. |
Registered Rep.
April 7, 2005
Kristen French |
NASD Advocates More Disclosure, Less Paper Broker/dealers and their reps may get a big break on point-of-sale disclosure if the Securities and Exchange Commission heeds recent NASD advice. |
Inc.
October 2005
John Fried |
The Government's Take on E-mail Regulators have thought up lots of rules governing e-mail. It's your job to figure out which ones cover you. |
Wall Street & Technology
February 12, 2004
Jim Middlemiss |
To Be or Not to Be an IM Shop? Financial-services firms are divided when it comes to allowing instant messaging. Many warn they don't have a choice. |
Registered Rep.
June 1, 2004
Bill Singer |
The Downside to the Rube Defense Time was, the perfect stockbroker was equal parts salesman and stockpicker, but these days you have to throw a good measure of lawyering into the mix. Anthony Barkate's problems came from relying on bad legal advice about whether an instrument was technically a "security." |
Registered Rep.
November 29, 2006
Kevin Burke |
Small Firms Move to Block NYSE/NASD SRO Merger Not everybody is cheering the formation of a single self-regulatory organization. An insurgency of small brokerage firms is urging their peers to strike down yesterday's announced merger between the regulatory arms of NYSE and NASD. |
Wall Street & Technology
September 21, 2004
Paul Allen |
What's Old Is New Again Straight-through processing is again in vogue, but this time it's being driven by internal cost pressures. |
The Motley Fool
December 26, 2006
Dan Caplinger |
The SEC's Gift to You: Part 2 By giving the investing public access to information, and serving as a regulator with the power to take action to correct problems, the SEC works hard to protect investors. |
Investment Advisor
August 2005
Thomas D. Giachetti |
Come Right In Here are some issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners. |
Registered Rep.
February 11, 2004
John Churchill |
Dueling Trend Lines on Complaints Brokers have become more attuned to investor complaints in recent years, but they must be forgiven if they're having a hard time drawing conclusions from the trend numbers reported by regulators. |
Bank Technology News
June 2002
David Rountree |
STP: In Pursuit of Greased Lightning The 48 hours between T+3 and T+1 won't disappear without major investments of time, money and attention. |
Registered Rep.
February 1, 2006
Kristen French |
Both Sides Now Brokers who hold dual licenses -- both the Series 7 and Series 65 licenses -- will have to take fiduciary responsibility on some accounts. But they can also sell investments, after they make it crystal clear that they're doing so. |
Knowledge@Wharton
September 10, 2003 |
Do High Regulatory Costs Force Public Firms to Go Private? Steps aimed at increasing the financial transparency of U.S. companies could backfire if companies respond by going private instead. In these post-Enron, post-WorldCom times, that would deal a body blow to confidence in capital markets. |
Registered Rep.
November 1, 2005
Christopher O'Leary |
A Crusade Against Indies? Regardless of whether going independent means a more regulatory scrutiny or not, advisors thinking of going out on their own need to understand just how much work such a move will entail in terms of keeping up with the ever-changing world of regulations. |
Wall Street & Technology
November 18, 2005
Maria Wakem |
E-Mail Contention While most financial services firms are now compliant with SEC e-mail retention rules, the problem of selecting the best technology for the job still persists and is largely due to confusion among compliance and IT departments regarding what needs to be accomplished. |
Wall Street & Technology
January 5, 2007 |
IM Invasion A new TowerGroup research note explores the pervasiveness of instant messaging in securities firms and discusses the reasons behind its popularity. |
Financial Advisor
June 2004
Tracey Longo |
Compliance Overload A white-hot regulatory agenda is bedeviling independent broker-dealers in the U.S. |
| Knowledge@Wharton |
Global Securities Markets Present Tough Challenges for Investors and Regulators The bursting of the Internet bubble, the collapse of Enron and the emerging demutualization of securities exchanges, especially in Europe, have brought the role of securities market regulators into sharper focus than before... |
CFO
February 1, 2005
Ronald Fink |
Finders Keepers The SEC is hearing new demands to make it easier for small companies to raise capital. |
Investment Advisor
March 2010
James J. Green |
B/D News Bulletins and news of interest to broker/dealers from FINRA and the SEC. |
