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Investment Advisor April 2008 Melanie Waddell	It's About Time Investment industry executives agree that the SEC's proposed short-form mutual fund prospectus is long overdue.
Investment Advisor July 2009 Savita Iyer-Ahrestani	Retirement Planning: Fund Firms Get Ahead of Summary Prospectus Deadline Experts believe the SEC will soon extend the summary prospectus requirement to variable annuities.
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. March 1, 2008	Plain English: The Cost of Compliance The SEC voted in February to propose changes to the structure of the Form ADV, the disclosure document that all investment advisors must complete.
Investment Advisor April 2010	Group Think Updates from SEC, IRI, and MDRT: SEC announces Chief Economist James A. Overdahl will leave the agency... The Insured Retirement Institute has released a survey which found that 90% of consumers would read their prospectus if it was provided as a short summary rather than in full detail... more...
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.
Financial Planning February 1, 2008 Jeanne Lee	Regulatory Roundup With regulatory agencies under political pressure to take a tougher stance on investor protections, financial advisors need to stay abreast of a number of proposed rule changes that could come online in 2008.
Financial Advisor March 2012 Juliette Fairley	Advisors Take Fund Research Into Their Own Hands Last year, the ARGI Financial Group, a Louisville, Ky.-based advisory firm with $400 million in assets under management, decided to take a new approach to researching mutual fund companies -- go directly to the source for information.
Registered Rep. April 1, 2007	When Achievement is Bull State regulators are moving to ban certain designations from marketing materials to better protect seniors. Financial advisors using senior designations to con seniors are often caught too late.
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?
The Motley Fool February 23, 2004 Selena Maranjian	Tell the SEC What You Think Help the Securities and Exchange Commission disclose Wall Street's conflicts of interest by giving feedback on their proposed rule changes for mutual funds.
Financial Advisor November 2005 Tracey Longo	The Embattled Broker Exemption Rule While advisors talk a good game about their desire to see consumers protected by meaningful regulation, the Financial Planning Association remains the sole litigant in its lawsuit against the Securities and Exchange Commission's so-called Merrill rule.
Financial Planning July 1, 2007 Marshall Eckblad	Funds and Games Several regulatory issues are floating around the SEC. Will any of them get resolved?
The Motley Fool October 12, 2009 Selena Maranjian	Cheating Just Got Easier Mutual fund "summary prospectuses" might be just the shortcut you're looking for.
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.
Registered Rep. May 17, 2007 Halah Touryalai	Massachusetts Enforces Rules On Use of Senior Designations The state's Securities Division adopted the nation's first regulation requiring advisors to advertise only accredited credentials, or credentials that can clearly demonstrate that they call for meaningful expertise, when offering financial advice to elderly clients.
Registered Rep. February 7, 2007 Halah Touryalai	Alphabet Soup: Massachusetts May Ban Some Advisor Designations Advisors who hold certain obscure professional designations may want to think twice about touting their alleged specialties on their business cards, mailings or other advertisements -- at least in the state of Massachusetts.
Financial Advisor May 2004 Alan Lavine	Dramatic Changes Loom For Mutual Fund, Annuities Sales Proposed disclosure rules could hurt level-load sales.
Registered Rep. February 22, 2005 Will Leitch	SEC's Roye Out as Mutual Fund Head In a move that casts doubt on the future of mutual fund regulation, the SEC has announced that its chief mutual funds legislator, Paul Roye, will step down, effective immediately.
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 June 2007 Melanie Waddell	SEC Furthers Tool for Investors, While Frank Plans Hearings The SEC is working on an interactive system using the computer language called XBRL that's designed to give investors the tools they need to more easily compare mutual funds.
Registered Rep. July 24, 2007 John Churchill	SEC to RIAs: Welcome In keeping with regulators trying to be more proactive and less reactive, the SEC is cozying up to newly registered investment advisers.
Financial Advisor September 2010	Frontline News Frontline News: Advisory Industry Faces Talent Shortage... Rule Change Could Crimp Alternative-Oriented '40 Act Funds... FPA Announces Heart Of Financial Planning Award Winners... more...
Financial Advisor October 2010	Frontline News New SEC requirements that financial advisors create a plain-English version of Form ADV Part 2... Fiduciary Standard Lobbying Season... Does Schwab's Purchase Of An RIA Portend A New Trend?... etc.
Registered Rep. April 7, 2005 Kristen French	NASD Advocates More Disclosure, Less Paper Broker/dealers and their reps may get a big break on point-of-sale disclosure if the Securities and Exchange Commission heeds recent NASD advice.
Investment Advisor July 2009	Upgrades What's going on: Pershing LLC has rolled out its NetX360 technology platform... Kohlberg Kravis Roberts announces an agreement with Fidelity Investments... Vanguard plans to merge funds... Laserfiche introduces Avante... more...
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 December 26, 2006 Dan Caplinger	The SEC's Gift to You Securities regulation helps guard investors against fraud.
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.
Investment Advisor July 2010 Melanie Waddell	A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.
The Motley Fool July 6, 2005 Tom Taulli	Donaldson's Last Stand William Donaldson made his mark on the SEC -- up until his last day in office. Interestingly, even the U.S. Court of Appeals had concerns about the new mutual fund regulations.
The Motley Fool February 9, 2007 Dan Caplinger	Millionaires Need Protecting, Too Regardless of how this issue plays out, expect continuing friction between the SEC and the hedge-fund industry. In the meantime, if you want to use alternative investments, you'd best get started toward the new $2.5 million mark.
Investment Advisor November 2009 Melanie Waddell	B/D News A new managed account program... Moves by the SEC...
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.
Investment Advisor September 2009 Philip Palaveev	Tortoise or Hare Which business model is most acceptable to investors? And which to advisors?
Investment Advisor February 2008	Group Think The Government Accountability Office wants the SEC to beef up its oversight of self-regulatory organizations... Grants are given to libraries to provide the public access to unbiased investing data and resources... etc.
Investment Advisor May 2009	B/D News & Products News for broker/dealers: U.S. House of Representatives approved legislation that would tie pay to performance at companies that have received TARP funds... Securities and Exchange Commission charged the auditors of Bernard Madoff's broker/dealer firm with securities fraud...
Financial Advisor May 2008	Frontline News Clients Ticked Off At Their Advisors... Surprising Conclusions About Client Loyalty... The Keys To A More Profitable 401(k) Practice... 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 Advisor July 2006 Tracey Longo	Advisors In The Spotlight A recent Investment Company Institute conference reveals financial advisors are the top source of investors' fund purchases.
Financial Planning August 1, 2008 Donald Jay Korn	Labels Under Fire Regulators are making it clear that advisors who use the word "senior" or various synonyms to transact business unethically are squarely in their sights.
Investment Advisor September 2008 Melanie Waddell	SEC, DOL to Share Data The SEC and Department of Labor agree to share information on retirement and investments in an effort to protect the $5.8 trillion in retirement assets of American workers.
Investment Advisor September 2009 Melanie Waddell	Alternative Uptick Rule The SEC is seeking public comment on an alternative approach to short-selling price test restrictions.
Registered Rep. March 11, 2009 Halah Touryalai	Extreme Makeover: SEC With or without an increased budget, the SEC wants to make up for its shortcomings.
Financial Advisor September 2009 Gail Liberman	How Liquid Are Client Mutual Funds? In a falling market, a fund's securities that appear to be liquid suddenly may have no market.
Investment Advisor May 2009 Melanie Waddell	Danger & Opportunity: The SEC Reformation An exclusive interview with SEC chief Mary Schapiro regarding financial services reforms.
Registered Rep. November 3, 2003 Will Leitch	Fund Scandal Implicates Stockbrokers The mutual fund trading scandals headlines seemed to implicate mutual fund family executives and hedge funds -- everybody but individual retail brokers and brokerage management. But a new survey by the SEC charges brokers with abusive trading of mutual funds.
Financial Planning July 1, 2008 Jane Worthington	Deficiency Letter 411 The SEC is running a pilot program to develop a standardized approach to the SEC deficiency letters presented to firms after an SEC examination.
The Motley Fool August 13, 2007 Dan Caplinger	Don't Pay Twice for Advice There's nothing inherently wrong with paying for financial advice. But there's a big difference between paying once for a good financial plan versus paying high fees year after year, through good times and bad.
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.