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Investment Advisor
May 2009
James J. Green |
Broker/Dealer Briefing: John Simmers of ING The CEO of ING Advisors Network, John Simmers, is retiring, but will retain his seat on FINRA's Board.   |
Registered Rep.
June 11, 2009
Kristen French |
FINRA Board Gets New Members; LPL, Ed Jones, Deutsche Replace Merrill, Lehman, ING execs Four new members were elected to the FINRA Board o Governors. |
Investment Advisor
September 2009
Angela Herbers |
Easier Said Than Done The trick for any advisory company is not to know that it can be better organized; the hard part is to actually make the transition to a new organizational structure. |
Registered Rep.
March 1, 2007
Kevin Burke |
The New SRO Plans for the NYSE/NASD regulatory consolidation are moving quickly toward an April 2 deadline. But executives question whether the proposed governance structure for the consolidated regulator could change the nature of regulation in the industry for the worse. |
OCC Bulletin
April 28, 2004
Tommy Snow |
Regulatory Capital - Asset-Backed Commercial Paper Programs Interim final rule on asset-backed commercial paper programs published in the Federal Register on April 26. |
The Motley Fool
April 4, 2008
Brian Lawler |
A Few Thoughts on Dendreon Let's talk about the upcoming Dendreon study results. |
Registered Rep.
October 2, 2009
Bill Singer |
FINRA's Dubious Report (Madoff, Stanford, et al.) Well, I can pretty much encapsulate my reaction to this report into a few choice words. Self-serving garbage. Nonsense. Disgraceful. |
CFO
August 1, 2002
Joseph McCafferty |
Interim CFOs In general, companies are taking longer to fill the CFO position -- usually six months to a year. But since the job is too crucial to leave open that long, companies like Aetna, New York Life, Sapient, and Citrix Systems have, for varying amounts of time, gone the interim CFO route. |
Financial Planning
February 1, 2008
Bob Veres |
Death by Regulation The financial planning profession is about to fight for its survival against well-funded opponents. Here are some possible outcomes. |
On Wall Street
June 1, 2009
Lauren Barack |
FINRA's Push for Greater Broker Oversight With the public's distrust of the financial community in overdrive, FINRA hopes to make disciplinary records permanently available on its BrokerCheck site. |
Investment Advisor
July 2008 |
News & Products, July 2007 Marcia Martin was named senior vice president, operations and partner support, at Cambridge Investment Research... The Financial Industry Regulatory Authority warns investors about the potential downside of using 401(k) debit cards... FINRA appointed James Donovan as senior executive VP... |
Financial Planning
December 1, 2010
Donna Mitchell |
Turning on the Charm Next month the SEC reports to Congress on its recommendations for enhancing examinations for investment advisors. FINRA, meanwhile, is trying to persuade movers and shakers on the Hill that it already has the answers. |
Registered Rep.
July 30, 2007
Halah Touryalai |
FINRA Sticks as SEC Approves Regulator Consolidation After some minor bumps along the way, the NASD and NYSE merger is official. |
Financial Planning
December 1, 2007
Jane Worthington |
Compliance The Financial Industry Regulatory Authority recently collaborated with the North American Securities Administrators Assocation to introduce the Small Firm Emergency Partner Program. |
OCC Bulletin
December 6, 2005 |
Interim Final Rule: Assessment of Fees The interim final rule revises the current process for assessment collection. |
Financial Planning
December 1, 2011
Bob Veres |
Regulatory Armaggedon The Republican leadership in Congress has proposed that the SEC authorize one or more self-regulatory organizations to take over regulation of RIAs. This has been coordinated with massive Wall Street lobbying. |
Financial Planning
September 1, 2007
Glenn G. Kautt |
Helping the Handoff Survey results show that business owners are in need of help when it comes to transition planning. There are four phases in the transition of a business where advisors can help their clients. |
IndustryWeek
March 16, 2011
Ebert et al. |
Managing Regulatory Challenges in a Global Marketplace Meeting requirements in emerging markets makes regulatory compliance an increasingly difficult issue for manufacturers. A new study sheds light on the challenges and how leading companies are meeting them. |
Registered Rep.
January 30, 2007
Halah Touryalai |
At Independent B/D Confab, Optimism and Skepticism The head of the Financial Services Industry Institute is feeling a little more comfortable with regulators. But, on the other hand, the chairman of the FSI also warns that the combining of the NYSE and NASD might create a power struggle among "second-level" regulatory staffers. |
Registered Rep.
January 22, 2009 |
FINRA Frisks Select B/D RIAs FINRA, the Financial Industry Regulatory Authority, emailed a number of broker/dealers recently with requests for information about their RIA units. |
Investment Advisor
March 2006
Mark Tibergien |
Formulas for Success: Preparing for the Fall Are you succeeding at succession? This question increasingly comes up as advisors see each month flip away, and each year change a digit. In the autumn of your career, are you prepared for the inevitable? |
