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Registered Rep. March 15, 2013 Megan Leonhardt	A "Tougher" FINRA? FINRA has stepped up the number of cases and the value of fines they levied against advisors last year, but that doesn't neccessarily mean that the indstury's self-regulatory organization is getting any tougher.
On Wall Street November 1, 2012 Mason Braswell	Regulators Cite Trouble Spots Are firms doing all they can when it comes to handling material non-public info?
On Wall Street March 1, 2013 Kenneth Corbin	FINRA Cracks Down on Suitability Broker-dealers and advisors recommending complex, high-yield products to see more scrutiny.
On Wall Street April 1, 2011 Bennett Voyles	FINRA Prosecutes More But Collects Less The rise in the number of actions could be related to increased regulatory pressure.
On Wall Street September 1, 2012 Ken Corbin	FINRA Penalties Soar in 2012 Suitability infractions were the most common source of FINRA s disciplinary actions
Financial Advisor September 2012	Finra Fines On Pace To Exceed 2011 Totals Financial Industry Regulatory Authority fines and disciplinary actions for 2012 are on track to significantly outpace those for 2011, according to a midyear review from the law firm Sutherland Asbill & Brennan LLP.
Registered Rep. November 21, 2007 Halah Touryalai	SEC Fines At Four-Year Low The fall in fines comes after complaints from Republican commissioners and business groups that say the penalties hurt investors. Meanwhile, Democrats say the heavy fines deter fraud.
Financial Advisor October 2012 Brian Hamburger	Sleight Of Hand The apparent death knell of Finra as an SRO by no means signals victory.
Investment Advisor June 2009 Thomas D. Giachetti	Expert's Corner: Complacency, Risk and the SEC Often advisors become complacent with respect to compliance, but all RIAs must recognize that compliance is an ongoing process requiring the review/update/amendment of regulatory filings, disclosures, and procedures.
Registered Rep. January 1, 2006	60 Seconds With...Grace Vogel An interview with the executive vice president of Member Firm Regulation for New York Stock Exchange Regulation about regulatory duplication and the NYSE's enforcement record.
Wall Street & Technology January 22, 2008 Sabatini & Smirnoff	Trade Reporting, Surveillance Key To Compliance With increased regulatory focus on protecting securities market participants, trade reporting and trade surveillance are key to providing transparency, efficiency and oversight for today's trading environment.
Investment Advisor January 1, 2011 Melanie Waddell	FINRA Jockeys for SRO Spot as SEC Report to Congress Nears The Financial Industry Regulatory Authority is engaged in a full-court press to convince the SEC that it should be the SRO for advisors.
Investment Advisor March 2010 James J. Green	B/D News Bulletins and news of interest to broker/dealers from FINRA and the SEC.
On Wall Street August 1, 2009 Mark Astarita	Changes at the SEC: Schapiro Should Be Benefit to Advisors One can expect that as head of the SEC Mary Schapiro will understand the impact of new rule proposals and enforcement initiatives and will temper the calls for more extreme changes that would ultimately harm the markets and the financial industry.
Registered Rep. May 1, 2005 Kristen French	Scandal Scorecard: Mutual Funds on Top With the SEC and NASD recently levying more than $80 million in fines to five firms (for transgressions related to revenue sharing and B shares), mutual fund sales practices officially sit on the front burner.
Financial Advisor March 2005 Tracey Longo	The Watchdog Inside Your Firm The SEC is making your chief compliance officer a whistleblower. Advisors' success with regulators in 2005 will depend largely on whether they trip themselves up or are able to create a business model that is better aligned with their clients.
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.
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. May 10, 2007 Kristen French	SEC Impostors on the Loose The SEC issued an alert to securities industry firms, warning them to keep an eye out for impostors -- individuals pretending to work for the SEC.
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.
Financial Advisor November 2011 Evan Simonoff	What Gives At The SEC? For several decades, the Securities and Exchange Commission has contended that it does not have sufficient resources to examine and inspect RIAs. Consequently, many have concluded that Finra is the default option for all RIA regulation.
Financial Advisor December 2010	Frontline News RIAs Transferred To States May Get Dual Exams... Piqued By Peak Oil... The Art Of The Referral... etc.
Financial Planning May 1, 2012 Jennifer Woods Burke	Gotcha! Audits Get Tougher This year, the SEC and FINRA launched a webinar for firms detailing their expectations and reaffirming that whether a firm is large or small, regulators expect the same level of diligence when it comes to audits.
On Wall Street April 1, 2013 Kenneth Corbin	SEC Zeros In on Potential Conflicts of Interest The regulator's staff will investigate nondisclosures, misrepresentations, and more.
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 Planning January 1, 2012 Donna Mitchell	Hot Topics SEC enforcement actions... Heartland hails dividends... Regulatory changes & volatility top concerns for retirement advisors...
Investment Advisor April 2008 Elizabeth D. Festa	FINRA and SEC Look to Build Bridges Seminars for chief compliance officers includes recommendations for keeping the lines of communication open between broker firms, the Financial Industry Regulatory Authority, and the Securities and Exchange Commission.
Financial Planning October 1, 2011 Jennifer Woods Burke	The Risk of Hide and Seek Advisors are often guiding clients through financial nightmares rather than living their own. But a FINRA enforcement action this year demonstrates how easily your career can slip away if you don't properly disclose financial troubles.
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.
CFO April 1, 2004 Ronald Fink	Playing Favorites Why Alan Greenspan's Fed lets banks off easy on corporate fraud.
Financial Planning April 1, 2012 Bob Veres	21st Century Regulation What is the best way to regulate fiduciary RIAs? How best can we identify and weed out bad apples and better protect consumers in the process?
Investment Advisor August 2006 Thomas D. Giachett	Expert's Corner: A Process, Not a Destination With the advent of SEC Rule 206(4) 7, which requires SEC-registered investment advisors to implement and maintain policies and procedures appropriate for their investment advisory business, it is more critical than ever for all RIAs to recognize that compliance is an ongoing process.
Investment Advisor August 2010 Marlene Y. Satter	The FINRA Blotter FINRA news: The law firm of Sutherland Asbill & Brennan completed in early July its annual review of disciplinary actions brought by FINRA.
Financial Planning December 1, 2012 Ackermann et al.	Hot Topics TD Ameritrade Institutional's aggressive recruiting... Small RIAs move to state regulation... Rosier view for affluent investors...
Financial Planning March 1, 2011 Larry Light	The Tradeoff Registered investment advisors may end up getting to know a new regulator, but the tougher fiduciary standard they live under will also be extended to cover their broker-dealer rivals.
BusinessWeek October 30, 2006 Emily Thornton	A Steady Drip of Buyout Leaks The Justice Dept. is investigating several cases where insiders may have traded on nonpublic information.
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.
Registered Rep. August 29, 2014 Diana Britton	One Strike, You're Out When it comes to the world of independent broker/dealers, the Financial Industry Regulatory Authority is cracking down. Its stated 2014 priority is to focus its regulatory firepower on "high-risk" brokers.
Financial Advisor November 2009 Jeff Schlegel	The Great Debate Financial services reform is coming. How will it impact advisors?
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.
BusinessWeek February 6, 2006 Emily Thornton	More Heat On Hedge Funds As if there weren't enough controversy surrounding hedge funds, now the Securities & Exchange Commission is investigating suspicions that fund employees are engaging in insider trading.
OCC Bulletin May 25, 2001	Privacy of Consumer Financial Information: 12 CFR 40 The Federal Financial Institutions Examination Council has approved uniform examination procedures to verify compliance with the implementing Privacy of Consumer Financial Information rules...
Financial Planning August 1, 2013 Bob Veres	How to Fix Advisors' Regulatory Woes Everyone agrees that the current mishmash of legal oversight doesn't work. Here s a framework that could clean up the mess.
Financial Planning September 1, 2007 Jane Worthington	Compliance Financial planners and advisors, advertise wisely. SEC examiners regularly find deficiencies in advertisements touting an advisor's performance returns. They recommend routinely using compliance procedures.
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).
Registered Rep. June 1, 2008 Christina Mucciolo	Let's Litigate Here's a little news that might interest you: Sometimes it pays to litigate against the Financial Industry Regulatory Authority (FINRA, formerly NASD) rather than settle.
Financial Planning October 1, 2006 William Cavell	Compliance Tips Tips for Before and During an SEC Exam
Wall Street & Technology September 23, 2005 Ivy Schmerken	Securities Police Go High-Tech NYSE Regulation's technology push may be the best-kept secret on Wall Street. Over the past few years, the self-regulatory organization has been expanding and improving its intranet-based capabilities to make information and analytical tools electronically available to examiners.
Wall Street & Technology August 22, 2005 Atul Seth	Mutual Fund Musts Seven key compliance imperatives that will have a major impact on the mutual fund industry over the next year and suggestions on how firms can meet the challenges posed by the requirements successfully.
On Wall Street July 1, 2011 Lorie Konish	FINRA To Delve Deeper Into Firms' Financial Data As regulators unveil new approaches to examinations, firms should make sure they have proper compliance systems in place and be ready to take the initiative in their communications with examiners, experts say.