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OCC Bulletin
January 15, 2004 |
Reporting and Disclosure Requirements for National Banks with Securities The final rule, entitled "Reporting and Disclosure Requirements for National Banks With Securities Registered Under the Securities Exchange Act of 1934; Securities Offering Disclosure Rules," amends 12 CFR 11 and 12 CFR 16.   |
OCC Bulletin
June 26, 2003 |
Securities Offering Disclosure Rules Reporting and disclosure requirements for National Banks with securities registered under the Securities Exchange Act of 1934 |
OCC Bulletin
October 15, 1999 |
Year 2000 Standards for Safety and Soundness for Bank Transfer Agents and Broker-Dealers New guidelines address transfer agent and broker dealer activities where Y2K readiness is important, even if the activity is not mission-critical in a particular bank... |
OCC Bulletin
October 6, 2005 |
Electronic Filing and Disclosure of Beneficial Ownership Reports This final rule, which applies to national banks that register their securities with the Office of the Comptroller of the Currency, amends the OCC's rules governing application of Securities Exchange Act disclosure rules to national banks (12 CFR 11). |
Investment Advisor
June 1, 2011
Thomas D. Giachetti |
From Deadlines to Lifelines The SEC extension of registration deadlines provides a potential grace period for stressed out advisors. |
Investment Advisor
April 1, 2011
Thomas D. Giachetti |
Dodd-Frank: An Overview Of Pending Changes For Investment Advisors Dodd-Frank deadlines are fast approaching. Are you ready? |
CIO
February 23, 2009
Rebecca Wanjiku |
Mobile Money Transfer Service Puts More Cash in Consumer's Pockets In Kenya, business owners use a mobile money transfer service to help customers get access to cash. |
The Motley Fool
December 26, 2006
Dan Caplinger |
The SEC's Gift to You Securities regulation helps guard investors against fraud. |
OCC Bulletin
May 7, 2003 |
Changes to Part 5 The interim rule amends 12 CFR 5.2 to expressly provide that the OCC may permit national banks to make any class of filings electronically and refers national banks to the Comptroller's Licensing Manual to find information about the filings that are available for electronic submission. |
Registered Rep.
September 2, 2010
Stevie D. Conlon |
Looming Cost-Basis Crunch With less than six months to go, the brokerage community is under intense pressure to prepare for the new cost basis reporting law. |
Investment Advisor
November 17, 2010
Thomas D. Giachetti |
Will You Stay SEC Registered in 2011? Regulatory changes could cause confusion for advisors |
Information Today
August 21, 2008 |
SEC Announces a New IDEA--The Successor to EDGAR Based on a completely new architecture being built from the ground up, it will at first supplement and then eventually replace the EDGAR system. |
On Wall Street
December 1, 2010
Alan J. Foxman |
When FINRA Intervenes Even non-member firms (such as registered investment advisors) can voluntarily agree to use either FINRA's arbitration or mediation services. |
OCC Bulletin
January 5, 2001 |
Fiduciary Activities of National Banks Notice of proposed rulemaking that would amend part 9 to codify OCC interpretations on national bank multi-state trust operations. The purpose of these changes is to provide enhanced guidance to national banks engaging in fiduciary activities. |
Wall Street & Technology
September 18, 2006 |
Registration's Lingering Effects It appears as though the ill-fated SEC hedge fund registration requirement will have a lasting effect on many in the hedge fund industry. |
Registered Rep.
June 29, 2010
Halah Touryalai |
The New Sheriffs In Town The SEC examines about 9 percent of the 11,000 or so advisory firms under its jurisdiction annually. All of that is about to change with a little help from regulators at the state level. |
The Motley Fool
May 26, 2004 |
Choosing the Right Real Estate Agent A good agent can serve you very well -- so choose carefully. |
On Wall Street
August 1, 2011
Alan J. Foxman |
When Advertising Is Advertising Marketing a book to existing and prospective clients is considered advertising... Report your employment history as of the date you're filing for registration... |
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. |
OCC Bulletin
October 20, 2003 |
Bank Secrecy Act Examination Procedures The examination procedures allow examiners to tailor the examination scope according to the reliability of the bank's compliance management system and the level of risk assumed by the institution. |
Investment Advisor
April 2008
Kathleen M. McBride |
SEC: "We hear you" The Securities and Exchange Commission has proposed an amendment that may make taking customers to a new firm easier on reps and B/D executives. |
Registered Rep.
March 1, 2005
Janet Wynn |
Paper Torture Why does today's securities industry, which uses some of the most sophisticated technology available, still issue and distribute equities the same way it did two centuries ago --- as pieces of paper? |
The Motley Fool
February 16, 2007
Dan Caplinger |
Have an Agent in Your Corner Buying a house is stressful enough without having to worry about whether you can trust the real estate agent you're working with. By using a dedicated buyers' agent, you can make sure your agent is working for you. |
Investment Advisor
February 2007
Thomas D. Giachetti |
When Should You Register? Should an investment advisor with $30 million of "assets under management" register with the SEC? It depends on whether the advisor has "qualifying" assets under management. |
AskMen.com
Michael Hirsch |
How To: Get Yourself An Agent Agents are necessary because they understand the industry they specialize in, know the big players and, more importantly, will know how to sell you and your talents, better than you can sell yourself. |
| PHONE+ |
Back to Basics: Channel Partners Fact Book 2011 An editorial regarding the inspiration and intention of the Channel Partners Fact Book guide for telephony agents. |
CRM
November 16, 2010
Koa Beck |
LiveVox Announces VoIP Agent@Ready VoIP Agent@Ready is a cloud-based inbound/outbound contact solution and supports telephony infrastructure with "hunt" groups of greater precision. |
Investment Advisor
April 11, 2011
Melanie Waddell |
SEC to Meet Dodd-Frank's July Deadline on 'Switch,' Private Fund, Venture Fund Advisors While final rules will be out by July 21, SEC will give advisors more time to comply |
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. |
Financial Planning
March 1, 2013
Kenneth Corbin |
SEC Registration Deadline Looms As annual registration nears, compliance experts warn RIAs to be cautious about their numbers. |
The Motley Fool
February 17, 2006 |
Choosing a Real Estate Agent How should you go about choosing a real estate broker or agent? Don't just sign up with the one who promises you the highest price for your house. Here are a few tips. |
OCC Bulletin
December 23, 2005 |
Bank Security Act/Anti-Money Laundering Process for taking administrative enforcement actions against banks based on BSA violations. |
Investment Advisor
August 2006
Joseph & Barreto |
Hedgeworld Hedge Fund Focus: Regulatory Limbo for Hedge Funds Experts say hedge fund advisors who registered with the Securities and Exchange Commission in response to the now-shelved hedge fund rule aren't likely to see examiners on their doorstep anytime soon. |
Trusts & Estates
March 20, 2002 |
Service Focusing On Foreign Trusts, Real Property Transactions This tax season, the Internal Revenue Service is attempting to make tax professionals whose clients have foreign trusts, or who transfer real property to foreign interests aware of rules and filing requirements. |
OCC Bulletin
January 22, 2007 |
Community Reinvestment Act Two separate revisions are made to the CRA regulation in this rulemaking. |
OCC Bulletin
February 25, 2002 |
National Bank Appeals Process This issuance revises the process through which a national bank can seek a review of agency decisions and actions. These procedures also ensure that no one is disadvantaged by filing an appeal... |
On Wall Street
October 1, 2012
Alan J. Foxman |
Brokering the Commission Split Our legal analyst explores commission sharing and FINRA disclosure rules. |
OCC Bulletin
December 6, 2000 |
Risk-Based Capital The Agencies are proposing to modify the risk-based capital treatment on claims against certain securities firms. The proposal would reduce the risk weight on claims on, or guaranteed by, qualifying securities firms to 20 percent from 100 percent... |
IndustryWeek
September 1, 2005 |
Finance: True To Reform New rules affecting the ways companies offer and register securities are slated to take effect on Dec. 1, 2005. |
Investment Advisor
September 2007
Melanie Waddell |
Hedge Funds Continue to Deregister During the past year, 732 hedge fund advisors have deregistered, according to the Investment Adviser Association and National Regulatory Services seventh annual report, Evolution/Revolution, which profiles the advisor profession. |
CFO
February 1, 2005
Ronald Fink |
Finders Keepers The SEC is hearing new demands to make it easier for small companies to raise capital. |
PHONE+
May 19, 2009 |
Thinking Out of the Telecom Box To survive the recession, telecom agents need to take a long, hard look at their businesses. |
OCC Bulletin
January 27, 2006 |
Bank Secrecy Act/Anti-Money Laundering The attached document provides a joint statement on sharing suspicious activity reports with controlling companies. |
Insurance & Technology
November 28, 2005
Peggy Bresnick Kendler |
Higher-Tech Agents Leading experts in agent technology answer critical questions about the relationship between agents and technology. |
OCC Bulletin
February 3, 2004 |
Amendment to Part 5 The Office of the Comptroller of the Currency (OCC) published the attached final rule in the Federal Register on January 2, 2004, amending its rules, policies, and procedures for corporate activities. The final rule adopts without change an interim rule that was published on April 14, 2003. |
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. |
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. |
OCC Bulletin
December 1, 2004 |
Annual Report on Operating Subsidiaries The attached final rule, which amends 12 CFR 5.34 on national banks engaging in activities through operating subsidiaries, was published in the Federal Register on November 5, 2004 (69 FR 64478). |
Registered Rep.
March 10, 2011
Kristen French |
SEC Says Bigger Budget Is Supported By BCG Report In testimony before Congress Thursday, SEC Chairman Mary Schapiro made a case for an increase in the agency's funding to $1.407 billion for 2012. |
The Motley Fool
August 2, 2005
Seth Jayson |
The Stun Gun Onion The more you peel away at Stinger Systems, the more it makes your eyes water. Investors, beware. |
