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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.   |
Registered Rep.
November 10, 2005
David A. Geracioti |
News From the SIA Meeting The top executives of the nation's biggest securities firms gathered at their annual meeting and declared that 2005 will go down as one of the industry's best years ever. |
Financial Advisor
January 2005 |
Frontline News America Views The Economy In Shades Of Red And Blue... Regulators OK Monte Carlo Tools... TD Waterhouse Backs FPA Stand Against SEC Rule... PowerBroker To Offer Free Edition For Planning Students... etc. |
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.
October 20, 2004
Will Leitch |
Tough Talk at SIA Mutual Fund Conference NASD Chairman and CEO Bob Glauber blasted the mutual fund industry for trying to shift the focus of SEC regulation away from the people it was intended to protect: the investors. |
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. |
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. |
Registered Rep.
December 1, 2004
David A. Gaffen |
Quietly Active The annual Securities Industry Association conference exuded an odd serenity, at least until the speakers invoked the name of Eliot Spitzer. |
Financial Advisor
June 2004
Tracey Longo |
Compliance Overload A white-hot regulatory agenda is bedeviling independent broker-dealers in the U.S. |
National Defense
October 2004
Sandra I. Erwin |
Candidates Imprecise On Pentagon Spending Neither President George W. Bush nor his opponent, Sen. John F. Kerry, has dwelt to any great degree on the nuts and bolts of military spending. |
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? |
Registered Rep.
November 1, 2006
John Churchill |
Insider Trading Up in 2006 NYSE Regulation says it expects to refer 140 potential insider-trading cases to the SEC in 2006. |
Reason
February 2009
Veronique de Rugy |
Bush's Midnight Regulations The 43rd president may set yet another dubious record. In his waning hours, President George W. Bush managed to rush through an unprecedented number of late-breaking regulations. |
Registered Rep.
November 11, 2005
David A. Geracioti |
Cox to SIA: No Regulatory Rollback When William Donaldson stepped down as SEC chairman, the perception was that the reform movement had also left the building. But Christopher Cox's first speech to the Securities Industry Association was to the contrary. |
Registered Rep.
December 14, 2005
David A. Geracioti |
NYSE Regulators to Member Firms and Reps: We Are Watching You Broker/dealers had a very strong 2005. But so too did the regulators. |
Wall Street & Technology
March 21, 2006 |
Consumers to Foot Compliance Bill? The securities industry's cost of compliance has nearly doubled over the past three years, and costs may be passed on to investors through higher prices and fewer choices. |
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.
April 6, 2005
John Churchill |
SEC Adopts Broker-Dealer Exemption Over the vociferous objections of fee-only financial planners, the SEC voted unanimously to permanently adopt the broker/dealer exemption rule, formerly known as the Merrill Lynch exemption. |
Registered Rep.
January 27, 2004
John Churchill |
New Rule Makes Clearing Your Record Harder Brokers can expect a new rule that will make removing customer complaints and disciplinary actions from their public records much more difficult. |
Registered Rep.
May 14, 2007
Kevin Burke |
NASD Chair Sees Better Oversight of New Products Mary Shapiro told mutual fund executives she sees better regulation of investment products as a result of a merged NYSE and NASD. While this may be better news for investors, purveyors of mutual funds may find themselves in the crosshairs. |
Registered Rep.
October 8, 2004
John Churchill |
Are Reps Advisors or Mere Brokers? The CFA sent a comment letter to SEC Chairman Donaldson, suggesting the nature of the services, not the compensation model, is what is important. And the current exemption misses this point. |
The Motley Fool
November 2, 2004
Roger Nusbaum |
Is the Election Really Uncertain? History does not support the notion of a real rally when the election ends. |
Financial Planning
July 1, 2008
Jane Worthington |
Deficiency Letter 411 The SEC is running a pilot program to develop a standardized approach to the SEC deficiency letters presented to firms after an SEC examination. |
Registered Rep.
December 4, 2002
Ross Tucker |
Data Overload Five brokerage firms were fined $8.25 million for record-keeping violations. |
Registered Rep.
November 7, 2002 |
SIA Conference: Let's Get Confident! Rudy says: I won't take SEC helm if asked. It's official: It's a time for "building investor confidence." That's the theme of this year's Securities Industry Association gabfest, held at the tony Boca Raton Resort & Club in Boca Raton, Fla. Never mind that SEC Chairman Harvey Pitt resigned two days ago. Think positively. |
BusinessWeek
October 25, 2004
Marcia Vickers |
Citi's Bob Rubin Is Back In The Game Politics, that is. He has Kerry's ear, and that improves the candidate's credibility |
Investment Advisor
July 2008
Melanie Waddell |
SEC Chairmen of Yore Speak Six former SEC chairmen pointed to quite a few regulatory challenges that loom large -- namely globalization of the world markets, the burgeoning market for complex synthetic securities, and the continued growth of hedge funds. |
Investment Advisor
September 2008
Melanie Waddell |
Turf Wars A conversation with former SEC Commissioner Roel Campos about the Treasury's Blueprint for financial services reform. |
Investment Advisor
May 1, 2011
Bob Clark |
The Polar Bears Thawing out our modern black and white thinking could save the fiduciary standard. I don't usually write about politics, except when it has a direct impact on financial advice, and this appears to be one of those times. |
Registered Rep.
January 8, 2003
Ross Tucker |
SIA Urges No Change to Branch Office Definition The SIA has expressed serious concerns over proposed changes by the NYSE and SEC that would alter the qualifications by which a broker/dealer office is considered a branch office. |
Registered Rep.
June 2, 2004
Will Leitch |
SEC Passes Breakpoint Amendment---With an `Ethics' Twist The Securities and Exchange Commission has issued its long-awaited amendments on breakpoints (sales-charge discounts on mutual funds), and the end result of months of deliberations surprised no one. |
Entrepreneur
November 2005
Scott Bernard Nelson |
New Cop in Town Will new SEC chairman Christopher Cox set you free from regulation? |
InternetNews
January 6, 2009
Drew Robb |
Obama, Dems Could Mean New Compliance Regs The global financial meltdown and Democratic control of the White House and Congress will likely mean new corporate accountability regulations - and more work for storage administrators. |
BusinessWeek
August 16, 2004
Walczak & Dunham |
Behind The Numbers: A Hidden Bounce For Kerry Undecided voters seem more impressed than ever with the Democratic presidential hopeful. |
Registered Rep.
June 20, 2006
John Churchill |
NYSE Chief John Thain Attacks "Excessive" Regulation Speaking at the second annual NYSE Regulation conference in New York, the NYSE Group CEO took on what he called "excessive" regulation as being one of the factors responsible for driving capital-raising activity outside the U.S. |
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. |
Salon.com
August 10, 2001
Jake Tapper |
Kerry's nation Can Sen. John Kerry, derided by his critics as an arrogant press hog, do in 2004 what his fellow liberal Al Gore couldn't do? |
Wall Street & Technology
March 21, 2006
Cory Levine |
Education in Regulation In partnership with the NASD, the U.K.'s University of Reading will offer what is believed to be a first-of-its-kind Master's in Capital Markets, Regulation and Compliance from the University's business school. |
Registered Rep.
April 1, 2006
Kristen French |
Compliance Costs: Double the Trouble In a study conducted in February of this year, the SIA found that annual industrywide compliance costs have nearly doubled in the past three years -- to $25 billion in 2005 from $13 billion in 2002, or 5% of the industry's annual net revenues. |
Investment Advisor
June 2006
Melanie Waddell |
Retirement Planning: News & Products Baby boomers and seniors -- don't confuse the two... SEC Chairman Christopher Cox is on his own crusade to fight senior fraud... John Hancock introduced a new survivorship universal life insurance policy... etc. |
Reason
October 2007
Jonathan Rauch |
Flying Blind in a Red-Tape Blizzard How George W. Bush became the regulator in chief. |
BusinessWeek
May 31, 2004
Magnusson & Dunham |
Ralph The Spoiler, 2004 Edition Could Nader siphon decisive votes from Kerry in swing states? Quite possibly. |
BusinessWeek
August 2, 2004
Paula Dwyer |
The Amazing Money Machine Defying doomsayers, the Dems -- by some measures -- are outraising the Republicans. And nothing has succeeded for Kerry like the Internet. |
Reason
June 2004
Julian Sanchez |
Virtual War Chests Weblogs hold out to candidates the promise of reaching intensely political readers who may be willing to contribute even to campaigns for seats outside their districts or states. |
BusinessWeek
May 17, 2004
Richard Dunham |
Bush And Kerry: A Tale Of Two Economies U.S. voters face the starkest policy choices in 20 years. |
BusinessWeek
August 2, 2004
Walczak et al. |
Kerry's Battle Plan He can't simply rely on anti-Bush fervor to get elected. So he's out to ease the middle-class squeeze. His challenge is to explain 'Kerrynomics' to voters in a way they can quickly grasp. |
AFP eWire
February 4, 2014 |
Your Crowd Funding Campaign as an Action Movie As one of the hottest and most innovative methods of fundraising on the scene today, Robert Osborne shows how creating your crowd-funding campaign like an action movie will steal the audience's attention, and inspire them to give. |
BusinessWeek
August 2, 2004 |
A VC's Political Seed Money Silicon Valley's Andy Rappaport explains why he's pouring cash and time into defeating Bush and shaping the Democratic Party's direction |
Reason
October 2004
John Berlau |
John Kerry's Dark Record on Civil Liberties The Democratic candidate is no friend to the Bill of Rights. |
InternetNews
October 22, 2004
Chris Nerney |
Outsourcing Takes a Back Seat Outsourcing has not been the first topic in presidential campaign stump speeches, but it still weighs heavy on the minds of IT workers. |
