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Investment Advisor
July 2006 |
Changes The SEC announced that Susan Ferris Wyderko, director of the Office of Investor Education and Assistance, will leave the Commission... President Bush has nominated Kathleen Casey to replace SEC Commissioner Cynthia Glassman...   |
Investment Advisor
August 2008 |
Changes Mark Schlafly named president and CEO of FSC Securities and Advantage Capital Corp... Jeff Auld named president and CEO of AIG Financial Advisors... Ted Mathas is now the CEO of New York Life Insurance Company... Three new SEC commissioner nominees... |
Investment Advisor
January 2008 |
Changes National Financial Partners named Daniel Young president and COO of NFP Securities, Inc., NFP's broker/dealer... The Securities and Exchange Commission named John Loesch deputy director of the agency's Office of Investor Education and Advocacy... etc. |
Investment Advisor
July 2009
Melanie Waddell |
Danger & Opportunity: Bracing for Change It looks to be all but inevitable that the rules for broker/dealers and investment advisors will be harmonized, and that broker/dealers offering investment advice will have to adhere to a fiduciary standard of care. |
Investment Advisor
April 2010
Melanie Waddell |
Washington Watch: The Shape of Reform Begins to Sharpen Dodd's bill calls for SEC study, not a fiduciary standard; advisors await final markup. |
Financial Planning
August 1, 2006
Marshall Eckblad |
On The Job Here's a rundown of the latest executive appointments: AIG Financial Advisors in Phoenix has named Lisa Bredeson senior vice president... Geronimo Financial has hired Thomas Brook as chief operating officer... etc. |
Investment Advisor
November 2009
Melanie Waddell |
Danger & Opportunity: Healthcare, Financial Services Reform Making Headway Two of the Obama Administration's top priorities to accomplish by year-end -- healthcare and financial services reform -- are well on their way to fruition. |
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.
March 11, 2010
Kristen French |
Dodd to Introduce Financial Regulatory Overhaul Bill Monday, without Republican Support He's still hopeful that negotiations with Republican Senators will prove successful. |
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. |
Registered Rep.
February 17, 2010
Kristen French |
Uniform Fiduciary Standard Still A Question Mark The fiduciary issue is not one of the major sticking points in wrangling over legislation; the big issues are banking regulations, systemic risk, credit rating agency reform, derivatives, executive compensation, and the Consumer Protection Agency. |
Investment Advisor
July 2010
Melanie Waddell |
A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward. |
Investment Advisor
February 2009
Melanie Waddell |
Mary Schapiro's Priorities Mary Schapiro tells the Senate Banking Committee what her priorities will be at the SEC. |
Investment Advisor
August 2010
Melanie Waddell |
Washington Watch: Financial Services Reform Finalized SEC gets fiduciary powers, but lack of self funding may pose trouble |
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. |
Investment Advisor
July 2007 |
Changes Shawn Dreffein, president of National Planning Corporation has retired... American Century Investments appointed Barry Fink... etc. |
Investment Advisor
April 1, 2011 |
SEC and the Fiduciary Study: Politics and the Fiduciary Standard AdvisorOne Wealth Editor Kate McBride explains the political process under which Dodd Frank was passed, up to the SEC's reports on an SRO and fiduciary standard |
Investment Advisor
March 1, 2011
Melanie Waddell |
House, Senate Hearings Next on Fiduciary Industry groups lobby for user fees to fund advisor exams in lieu of an SRO. |
Registered Rep.
June 1, 2006 |
Comings & Goings SEC Commissioner Cynthia Glassman announced her intention to leave the commission... The NASD promoted three executives as part of a larger leadership transition... Stuart Bohart has been named head of alternative investments... etc. |
Registered Rep.
March 15, 2010
Kristen French |
Dodd Bill Requires Year-Long Study of Fiduciary Issue, SRO Idea, Gives SEC Muscle Banking reform legislation introduced Monday would give the SEC greater enforcement muscle over RIAs, and would require it to conduct a study examining the effectiveness of extending the fiduciary standard to brokers. |
Financial Planning
May 1, 2006
Lynn Hume |
Campos Mulls Law for Raters The SEC Commission member says it may be time to seek legislation that would give the SEC authority to regulate the nation's credit rating agencies. |
Registered Rep.
June 25, 2010
Kristen French |
The Final Wall Street Reform Bill And You After a herculean 20-hours straight of negotiations, Congressional committee members agreed Friday morning to a Wall Street reform package that will be much tougher on the country's banks. |
Registered Rep.
March 27, 2006
Kristen French |
SEC Targets Investment Traps Set For Seniors The move against the "free lunch," as they are generally called, is part of a larger initiative launched to protect senior citizens from investment scams and unsuitable recommendations. |
Investment Advisor
February 2008
Melanie Waddell |
A Busy Year in Washington Now that the Rand report assessing the advisory and broker/dealer industries has been released, No doubt advisors and brokers will be anticipating any possible regulatory actions that the SEC may take. |
Registered Rep.
June 15, 2010
Kristen French |
NASAA Says Reg-D Is Second Biggest Investor Protection Concern NASAA President Denise Voigt Crawford outlined the biggest investor protection provisions in Wall Street reform legislation that are supported by the organization. |
BusinessWeek
January 23, 2006
Amy Borrus |
The Unlikely Hardnose At The SEC Securities & Exchange Commission Chairman Chris Cox wants all CEO pay revealed. |
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. |
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). |
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. |
Registered Rep.
September 21, 2007
Halah Touryalai |
Banks Officially Welcomed into the Brokerage World Under New SEC Rule It only took eight years, but the SEC and the Board of Governors of the Federal Reserve System passed final rules defining how banks can act as securities brokers. |
Investment Advisor
April 1, 2011
Melanie Waddell |
SEC Funding in the Budget Fight Crosshairs Commission may be the biggest casualty as lawmakers continue tussle over the federal budget |
Investment Advisor
October 2009
Melanie Waddell |
SEC Criticized for Madoff Congress chides the SEC for the scathing inspector general report on Bernie Madoff. |
Registered Rep.
December 2, 2004
John Churchill |
SEC Overburdening Itself? The SEC narrowly succeeded in passing a final rule requiring hedge fund advisors to register under the Investment Adviser Act of 1940. But is the agency biting off more than it can chew? |
Investment Advisor
September 2006 |
Changes Mary Schapiro was scheduled to become chairman and CEO of the NASD... President Bush has nominated former SEC Commissioner Cynthia Glassman as Under Secretary for Economic Affairs... etc. |
Registered Rep.
February 1, 2005
John Churchill |
A Monster Issue Will the SEC withdraw the Broker-Dealer Exemption, causing reps to back away from adviser status? If so, the impact could cause substantial disruption in the markets. |
Financial Planning
July 1, 2010
Jeanne Lee |
Reform Lite The 1,600-page financial reform bill passed by the Senate in May still doesn't do enough to enhance consumer protections for individual investors, some industry observers say. |
BusinessWeek
April 5, 2004
Paula Dwyer |
Mutual Funds: Carpe Diem, Congress The SEC can't restructure the industry by itself, and legislators are dawdling |
Financial Planning
November 1, 2005 |
On the Job William L. Anthes, former president and CEO of the National Endowment for Financial Education, will begin a three-year term on the Financial Planning Standards Board... AIG Advisor Group has named Brett A. Ishler director of investment products and research... etc. |
U.S. Banker
December 2004
Lee Conrad |
Compliance: Hedge Fund Registration Sparks Broad Criticism The Securities and Exchange Commission's decision to register most of the estimated 8,350 hedge funds is drawing heavy criticism from the business community and some government officials. |
Investment Advisor
August 2006
Kathleen M. McBride |
B/d Briefing: A New Regulatory Framework? In a move that may be the opening salvo in a fight for unified investor protection rules, the SEC is seeking information from potential contractors to conduct a study about how investments and advice are marketed to individual investors. |
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. |
Investment Advisor
April 2007 |
Changes-April 2007 New York Life Insurance Company announced that Christopher Blunt was appointed senior VP and COO... Jonathan Spector, vice dean of The Wharton School at the University of Pennsylvania, was named president and CEO of The Conference Board... etc. |
Investment Advisor
April 1, 2011
Melanie Waddell |
GOP's End Game in Nixing SEC Funds: Stopping Dodd-Frank Republicans' rehashing of supposed failures at the SEC is 'counter-productive,' says former Chairman Harvey Pitt |
Investment Advisor
May 2009
Melanie Waddell |
Danger & Opportunity: The SEC Reformation An exclusive interview with SEC chief Mary Schapiro regarding financial services reforms. |
Investment Advisor
February 2008
Melanie Waddell |
A Groundbreaker SEC's Rand report, of the broker/dealer and investment advisory industries will dominate the discussion among brokers and advisors in 2008. |
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.
December 1, 2005
Andrew Osterland |
Brokering Advice The essential difference between brokers and registered advisors, say financial planners, is fiduciary duty. The notion that b/ds have a lighter burden of regulation than registered advisors, however, is something the securities industry vigorously disputes. |
BusinessWeek
July 17, 2006
Mara Der Hovanesian |
The SEC Isn't Finished With Hedge Funds The SEC is closing in on shady practices despite a setback from a federal court. |
Investment Advisor
August 2010
Melanie Waddell |
Will the States Be Able to Regulate Big RIAs? State regulators and the Securities and Exchange Commission (SEC) will meet soon to iron out the details of shifting nearly 4,000 advisors from federal to state supervision. |
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. |
