Similar Articles

Browse Main Topics:

Business
Computers & Electronics
Education & Reference
Entertainment & Leisure
Family & Home
Finance & Investment
Health
Internet
Pets & Animals
Science & Technology
Society, Politics & Culture
Sports & Recreation

Similar Articles

Registered Rep. September 1, 2005 John Churchill	Misleading Fax The SEC recently charged a pair of fax scammers whose worst offense might be their poor impersonation of a stockbroker. What does it say about the industry that enough investors believed this was real, driving the stock price up?
Registered Rep. July 1, 2005 Kristen French	On-the-Job Therapy at the SEC After months of trying to fill the position, the SEC has hired a psychologist to work on the commission's flagging morale.
Registered Rep. July 1, 2005 Kristen French	You're Calling It What!??? After several months of deliberations and input from all 18,000 of its employees, the soon-to-be-spun-off American Express Financial Advisors selected as its new name: Ameriprise.
Registered Rep. May 1, 2006 Kristen French	Hot Jobs: Financial Advisor Financial advisors have the best jobs after college professors and software engineers, according to a recent research report.
Registered Rep. October 1, 2005 John Churchill	Regulation With a Smile The SEC ranked fifth in a federal government study titled "2005 Best Places to Work."
Investment Advisor September 2006 Jeff Joseph	Hedge Fund Focus: RIAs Turning to Alternatives A more hands-on approach to investments is being taken by registered investment advisors, including the use of alternative products, according to a new survey.
Registered Rep. July 1, 2005 Kristen French	Apres Purcell--Le Spinoff? Now that Morgan Stanley's CEO has given up, the future of the old Dean Witter organization is in question. Morgan Stanley remains under pressure to improve profitability and its stock price.
Registered Rep. April 12, 2006 Kristen French	Financial Advisors: Hot Prospects? Financial advisors have the best jobs after college professors and software engineers, according to a new research report.
Registered Rep. March 1, 2006 Barry Rehfeld	Another Tough Top Cop? When President Bush tapped Christopher Cox to replace William Donaldson, it looked like Bush was swapping an aggressive reformer for a kinder, gentler regulator. Yet since he took over as SEC chairman, Cox has shown that he is not the anti-Donaldson.
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. July 11, 2005 John Churchill	More Changes at Morgan Stanley The resignation of Morgan Stanley's co-president Stephen Crawford and the disclosure of his pay package cause public comment on the unusual nature of events and anger among employees and shareholders alike. Chairman John Mack works to retain top people.
Investment Advisor August 2010 Melanie Waddell	Advice to the SEC When it comes to the fiduciary standard, Capital Analysts President and CEO Matt Lynch says advisors "want to be sure the SEC seeks and gathers input from the industry as to how to implement these important changes."
Investment Advisor March 1, 2011 Melanie Waddell	SEC Fiduciary Rule May Hit by Summer Despite the advisory industry's hopes that the Securities and Exchange Commission would get a quick start on writing a rule to put brokers under the same fiduciary standard as advisors, it looks as though a rulemaking could come by summer.
Entrepreneur November 2005 Scott Bernard Nelson	New Cop in Town Will new SEC chairman Christopher Cox set you free from regulation?
Investment Advisor October 2007 Melanie Waddell	Helping the Most Vulnerable Retirees Lawmakers, the Securities and Exchange Commission, and state regulators are bent on making sure advisors with designations touting expertise when it comes to helping seniors, the most vulnerable retirees, are closely scrutinized.
Investment Advisor February 2009 Melanie Waddell	Is Mary What the SEC Needs? The alternative to FINRA overseeing advisors, and what advisors would definitely prefer, is a self-regulatory organization.
The Motley Fool June 26, 2006 S.J. Caplan	Hedge Funds Rule! A federal court strikes down the new "hedge fund rule." The spotlight now shines on the current SEC chairman, Christopher Cox.
Registered Rep. March 1, 2008 John Churchill	Fix Advisor Laws! Laws should reflect the fact that the differences between registered reps and registered investment advisors have largely evaporated.
BusinessWeek December 3, 2007 Nanette Byrnes	Proxies: The SEC's Stopgap Solution Chairman Cox indicates he'll vote against shareholder access to corporate proxies, but the agency will revisit the issue next year.
Registered Rep. April 29, 2005 John Churchill	FPA Sues to Stop Broker-Dealer Exemption The Financial Planning Association believes that the SEC rule which allows registered reps to call themselves financial advisors is contrary to law and encourages broker-dealers to engage in self-dealing with their clients without disclosing their conflicts of interest.
Investment Advisor July 2010 Melanie Waddell	A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.
CFO June 1, 2008 Alan Rappeport	Suddenly, It's Here The SEC votes unanimously to soon require companies to file data-tagged financial statements. The move seems certain to breathe new life into XBRL (extensible business reporting language), the data-tagging scheme for financial reports.
Investment Advisor May 2010 David Tittsworth	What a Reinvigorated SEC Will Mean for You The first in a series of occasional commentaries by the executive director of the Investment Adviser Association.
Registered Rep. August 1, 2005 Matt Barthel	The Ten to Watch 2005: Learning to Live With the New Normal Lately, there is a palpable sense of acceptance in the brokerage industry that the new regulatory climate is likely to be a permanent one. Heralds of the new order: John Mack... Chris Cox... etc.
Registered Rep. September 10, 2008	Bank of America to Buy Its ARs Back The nation's second-largest bank by assets settled an investigation by Massachusetts regulators, agreeing to buy back $4.5 billion worth of the securities.
The Motley Fool October 7, 2008 Alyce Lomax	The SEC Has Let Us Down Who's the SEC looking out for again? It's not you or I.
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.
Registered Rep. August 30, 2005 John Churchill	Retaining Those Pesky Emails Morgan Stanley is in for what could be a $10 million fine from the SEC for failing to retain emails, according to a report.
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.
InternetNews May 31, 2007 Clint Boulton	SEC Settles Backdating Cases With Mercury, Brocade The Securities and Exchange Commission settled stock-option backdating cases with Mercury Interactive and Brocade Communications Systems totaling $35 million.
Registered Rep. April 8, 2004 Joan Warner	Trouble In The House That Purcell Built? After suffering through a cruel bear market, Morgan Stanley has come under regulatory scrutiny and legal fire for practices in several key businesses in the past two years, including mutual fund sales.
Financial Advisor September 2005	Editor's Note Following the ironic twists and turns of the Securities and Exchange Commission's so-called Merrill Lynch rule brings to mind how so many things in life and business often take a turn we never could have anticipated.
Investment Advisor May 2008 Melanie Waddell	Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers.
Registered Rep. January 9, 2007 John Churchill	To Hedge Gets Harder The SEC proposed a rule in December that would raise the net worth requirements of investors in hedge funds to $2.5 million from $1 million, not including the value of one's home.
Registered Rep. November 1, 2006 John Churchill	Purcell Gives Up Some Gold Morgan Stanley shareholders who are still reeling from the $52 million exit package given to former president and CEO Philip Purcell will be happy to know he's giving a lot of it away.
Registered Rep. May 10, 2005 Kristen French	Purcell Takes Stage, Tries to Rally Support Morgan Stanley's embattled CEO Philip Purcell tried to shore up shareholder support and squelch the almost daily flood of media speculation over the firm's future. But were shareholders convinced?
Financial Planning November 1, 2009 Robert Pozen	Think Twice Congress is seriously debating legislation that would significantly expand the coverage of the Investment Advisers Act, empower the SEC to make rules on advisor compensation and increase the likelihood of lawsuits against advisors.
Investment Advisor March 2006 Melanie Waddell	Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away.
Registered Rep. March 1, 2005 Will Leitch	A Sporting Chance Morgan's shareholders are testy now, and they are looking for someone to blame for the company's ills. Having taken a 46% raise in a year in which his company's stock dropped 8.2 percent, chairman and CEO Philip Purcell makes an easy target.
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?
Investment Advisor September 2006	Upgrades SEC Commissioner Christopher Cox said August 7 that the SEC will not appeal the D.C. Circuit Court of Appeals' decision in Goldstein v. SEC... According to Barclays Global Investors, exchange traded fund flows surged in June... etc.
Investment Advisor January 2006 Melanie Waddell	The Playing Field: SEC Inspectors Unit Under Fire After repeated complaints from broker/dealers, mutual funds, and investment advisors about the SEC's new sweeps examination process, Congress is threatening to abolish the SEC's Office of Inspections and Examinations (OCIE).
Registered Rep. March 30, 2005 Will Leitch	More Turmoil at Morgan Stanley In a shake-up that shocked even those who said they had seen such an explosion coming, the beleaguered Morgan Stanley CEO Philip Purcell watched two of his top executives resign in protest of his leadership on Tuesday.
CFO June 1, 2009 Reason & Stuart	Crackdown Alert After a GAO report documents a slowdown in the SEC's case generation and penalty volume under former chairman Christopher Cox, the regulator's new leaders talk tough.
Registered Rep. June 30, 2005 John Churchill	Mack Back, Officially John Mack, former head of Morgan Stanley, returns hoping to quiet employee dissent and questions in the media about the firm's direction.
Registered Rep. May 14, 2007 John Churchill	"Merrill Lynch" Rule Dead, But SEC to Ask for Time The securities industry still hopes that the SEC will somehow come up with a new plan to keep the fee-based brokerage account from coverage by the Investment Advisers Act of 1940, which mandates that to offer financial advice, you have to be a fiduciary.
Financial Planning May 1, 2008 Elizabeth O'Brien	Regulatory Tussle Independent broker-dealers and the Securities and Exchange Commission have found themselves in a tug-of-war over how best to serve clients when registered representatives depart one firm for another.
Investment Advisor June 2007 Melanie Waddell	SEC Won't Appeal Court Ruling The SEC has decided not to appeal the recent ruling which exempted brokers from being subject to regulation as investment advisors in fee-based brokerage accounts, on the basis that the SEC had exceeded its authority under the Investment Advisers Act of 1940.
Investment Advisor August 2006 Melanie Waddell	The Playing Field: Will the SEC Appeal? Hedge fund advisor registration has been an extremely contentious issue. Some feel there will be grave consequences for the SEC and the investing public should the House bill requiring registration be shot down.
Registered Rep. March 4, 2009 John Churchill	SEC Sued by Stanford Group Advisors for Violation of Constitutional Rights The SEC has frozen client accounts of Stanford Financial Group advisors, and has ordered them not to communicate with their clients. The advisors are fighting back.