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Financial Planning
March 1, 2007
Mike Suppappola |
Compliance Tips New Soft Dollar Rules: Is Your Firm Ready?   |
Wall Street & Technology
March 26, 2004
Ivy Schmerken |
Regulators Play Hardball with Soft Dollars Buy-side firms are facing more disclosure requirements and possible curtailment of soft-dollar commissions applied to investment technology. |
Wall Street & Technology
September 23, 2005
Anthony Guerra |
Follow the Leader The U.K.'s Financial Services Authority (FSA) finally issued its soft-dollar guidelines. Will the SEC take a page out of what the FSA has done? Probably. |
Registered Rep.
August 1, 2006
Kevin Burke |
SEC Draws Hard Line on Soft Dollars After more than a decade of discussion, the SEC has finally issued guidance on the controversial fate of soft dollars. |
Wall Street & Technology
April 26, 2005
Ivy Schmerken |
Broker Research: What's It Worth? The securities industry is hoping that the SEC will clear up the uncertainties surrounding soft dollars and determine once and for all who is responsible for placing a value on proprietary research. |
Wall Street & Technology
January 24, 2006
Anthony Guerra |
Hard Times for Soft Dollars Changes to soft dollar practices are of interest to both sides of the Street since the tightening of the SEC's safe harbor clause -- which details what may be paid for with soft dollars -- will require the buy side to shell out hard dollars for more goods and services. |
Wall Street & Technology
August 27, 2004
Ivy Schmerken |
Bracing for Disclosure of Soft Dollars The SEC's examination of soft dollars could require money managers to increase disclosure of costs and force the sell side to unbundle its commissions and separately price its research. |
The Motley Fool
March 19, 2004
Whitney Tilson |
The Disgrace of Soft Dollars Massachusetts Financial Services Co. (MFS), the oldest and 11th-largest mutual fund company, announced this week that it has stopped paying brokers in "soft dollars." I can hear the yawns across America, but this is an important issue because investors are being bilked out of billions. |
The Motley Fool
July 14, 2006
Alex Dumortier |
SEC Soft on Soft Dollars The SEC clarifies what acceptable practice is when it comes to soft dollars. If you are a mutual fund or hedge fund investor, you'd be well advised to check your investment managers' policy regarding the use of soft dollars. |
Financial Advisor
May 2004
Alan Lavine |
Dramatic Changes Loom For Mutual Fund, Annuities Sales Proposed disclosure rules could hurt level-load sales. |
Financial Advisor
May 2006
Andrew Gluck |
New Rule Causes Software Schizophrenia New financial software programs for advisors reflect the difference between fiduciary and suitability requirements. |
Financial Advisor
October 2004 |
SBPlanner Develops Bond Analysis Tool Advisors can use The Platinum Guru to help their clients... MassMutual announced a new Portfolio Audit and Account Review program for agents... Hedge Fund Evaluations... etc. |
The Motley Fool
May 20, 2004
Tim Beyers |
American Express Unit in Scandal The broker could be a target of a regulatory inquiry into mutual funds revenue-sharing. How can you tell if your own broker or advisor has a conflict of interest? |
Registered Rep.
August 18, 2004
Will Leitch |
SEC Unanimously Votes to Ban Directed Brokerage The 5-0 vote surprised few. Perhaps more worrisome was the call for comment on overhauling or banning outright 12b-1 fees, which were described as disguised commissions. |
Registered Rep.
August 28, 2007
John Churchill |
SEC Principal Trade Proposal: A Stalling Tactic? A 2-year "interim rule" would allow large brokerage firms that also have many other business lines to meet their fiduciary obligations to customers while still engaging in principal trading activity -- selling customers products from their own inventory. |
Financial Planning
September 1, 2006
David Spinar |
Even the Playing Field Congress needs to standardize the regulations for investment advisors and broker-dealers. |
On Wall Street
February 1, 2012
Alan J. Foxman |
Death of A Client Until a personal representative (or executor) is appointed by the probate court, the client no longer has the ability to ratify the trades or revoke the authority granted. |
Financial Planning
March 1, 2011
Bob Veres |
Gold Into Straw In mid-January, the SEC released its "Study on Investment Advisers and Broker-Dealers" to Congress. Analyzing the study provides an insightful look into how the SEC views the "harmonization" of two different regulatory structures. |
Financial Planning
March 1, 2011
Donald B. Trone |
All for One... A uniform fiduciary standard of conduct, coupled with harmonized regulations, should dramatically improve the process for investors. |
Financial Advisor
December 2005
Harold Evensky |
Unintended Consequences Brokers must forego the bells and whistles accompanying much of the current planning software if they wish to avoid having to register as investment advisors; however, that should not prevent them from appropriately using these analytics in arriving at suitable recommendations for their clients. |
Investment Advisor
April 2006
Elizabeth Festa |
A Less Scary SEC? SEC Commissioner Atkins promises more restraint in dealing with financial advisors. |
Registered Rep.
August 1, 2004
Will Leitch |
No Soft Dollars? A Hard Pill To Swallow Attendees of the SIA Soft Dollars and Institutional Brokerage Conference seek to find if the soft-dollar payments practice in the brokerage industry can be saved. |
BusinessWeek
April 11, 2005
Toddi Gutner |
Broker Or Adviser? Be forewarned: If yours is employed by a brokerage, your interests come second |
On Wall Street
March 1, 2012
Alan J. Foxman |
Regulators Redefine Assets Advisor Q&A: Do I have discretionary authority with my clients?... Do we now count the variable annuities sub-accounts?... |
Financial Planning
October 1, 2010
Brian Hamburger |
Regulation Season A look forward at the real effects of regulatory change - and they could be as unattractive as they are expensive. |
On Wall Street
June 1, 2010
Mark Astarita |
Tilting the Litigation Landscape Against the Financial Industry Current reform proposals could radically alter the broker-client relationship. |
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.
June 29, 2004
Will Leitch |
Hard Questions at Soft-Dollars Conference Most of the conference's attendees, particularly smaller firms who have come to rely on the "soft" payments, were there to find out one thing: Can the practice be saved? |
Registered Rep.
February 18, 2004
John Churchill |
SEC Puts Forth Mutual Fund Rules Proposals The SEC has put forth three proposals that could drastically change the way mutual funds are sold. |
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. |
Financial Advisor
March 2011
Jeff Schlegel |
Is Uniformity Possible? Broker-dealers expect some changes if a new fiduciary standard is adopted. |
Registered Rep.
February 2, 2006
Kristen French |
Brokers Learning to Play by New Rules It's no longer business as usual on Wall Street. Starting yesterday, broker/dealers must follow a new SEC rule that requires them to disclose at certain times that they may not be acting in their clients' best interest. |
The Motley Fool
August 2, 2004
Selena Maranjian |
Buying Your Brokerage? There are good and bad ways to invest in securities firms. Look for these red flags before investing in a broker-dealer offering (BDO.) |
Investment Advisor
March 1, 2011
Bob Clark |
A Study in Flexibility SEC's Study on Investment Advisors and Broker-Dealers leaves too much wiggle room to declare victory yet. |
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. |
The Motley Fool
December 8, 2005
Tom Taulli |
Fidelity Soft No More Payment via soft dollars is an age-old practice on Wall Street, but its days may be numbered. In fact, this week, Fidelity indicated that it will now pay for mutual fund research from Lehman Brothers. This is good for investors. |
The Motley Fool
October 25, 2007
Dan Caplinger |
Brokers for Expert Investors Have you outgrown your brokerage account? When you're just getting started with investing, comparing brokerage firms is pretty easy. But when you go beyond the basics, you need a broker who provides more. |
Registered Rep.
September 1, 2004
Will Leitch |
Directed Brokerage Goes Down for the Count The first target has been hit: Directed brokerage is no more, and 12b-1 fees might be in more danger than had been thought. |
Registered Rep.
May 9, 2007
Christina Mucciolo |
Morgan Stanley to pay $7.96 Million for Best Execution Fraud The SEC announced that Morgan Stanley will pay penalties to settle the charges against the firm for failing to provide best execution to clients. |
The Motley Fool
February 25, 2009
Dan Caplinger |
Start Investing and Earn an Extra Bonus If you're looking for a new broker in today's sophisticated financial world, you really should think about finding one with bells and whistles that open up a range of investments. |
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. |
Registered Rep.
March 30, 2007
John Churchill |
Surprise! FPA Wins Lawsuit Against SEC and the Broker-Dealer Exemption Three years after suing the SEC over the controversial "Broker Dealer Exemption" rule, a federal court has ruled that the SEC exceeded its authority in adopting the rule. |
Registered Rep.
August 1, 2004
Will Leitch |
A Soft Idea A new study asked CIOs at 72 asset management firms what they thought about the desirability of continuing to pay soft dollars, and whether they thought it was "feasible" to eliminate the practice. |
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. |
Registered Rep.
August 1, 2004
Will Leitch |
The Reformation When the scandal craze that has gripped the securities industry first began two years ago, few in the industry recognized how deep it might go. |
Registered Rep.
February 17, 2005
John Churchill |
NASD Charges American Funds with Directed Brokerage Violation Saying it's just as impermissible to make directed brokerage payments as it is to receive them, the NASD charged American Funds---one of the country's most reputable asset managers---with paying kickbacks to brokerages for selling its funds. |
Fast Company
Neal Ungerleider |
Microsoft Speaks Out About EU "Safe Harbor" Policy Earlier this month, the European Union undid its long-standing "Safe Harbor" policy, which allowed foreign tech companies to store data about European users in data centers outside of Europe. |
Financial Advisor
June 2005
Raymond Fazzi |
Regulatory Challenges Top Broker-Dealer Agenda Rarely has the potential of the financial advisory business, with a huge demographic wave of baby boomers approaching retirement, looked brighter. But never has the regulatory climate been more challenging. |
BusinessWeek
March 19, 2007
Jane Sasseen |
The SEC Is Eyeing Insider Stock Sales Executives are using inside information to boost returns when they sell stock through automatic trading plans. Now, the Securities & Exchange Commission is looking more closely at such trades and whether the rules governing them need to be tightened. |
The Motley Fool
July 29, 2010
Matt Koppenheffer |
Buy, Sell, or Hold E*TRADE Financial? What should investors be doing with E*TRADE's stock right now? |
