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The Motley Fool
September 23, 2008
Rich Duprey |
The Short-Sale Ban Is a Fiction The SEC's ban fails to address the real causes of the financial markets' decline.   |
The Motley Fool
September 22, 2008
Alex Dumortier |
The Truth About Naked Shorts There's been a lot of information and misinformation about short selling recently. Read on to bring yourself up to speed and bust some myths along the way. |
Investment Advisor
May 2009
Melanie Waddell |
Danger & Opportunity: The SEC Reformation An exclusive interview with SEC chief Mary Schapiro regarding financial services reforms. |
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. |
The Motley Fool
June 18, 2010
Ivan Martchev |
Banning Short Selling Is an Act of Desperation Legitimate short selling is a viable market strategy that aids the price-discovery mechanism. Germany's ban on short selling fixes nothing. |
Investment Advisor
January 2009
James J. Green |
What to Do Now? When you're in the middle of a crisis, by definition it's difficult to plan ahead to avoid the next crisis, but that's exactly what the smart, growing, most profitable advisors tend to do. |
On Wall Street
December 1, 2010
Matthew Leung |
Winning Over Clients Who Have Been Burned It's not surprising that investors and even financial advisors may be disheartened about the market. So how can advisors remain motivated and prevent clients from sitting on the sidelines? |
Financial Advisor
November 2009
Jeff Schlegel |
The Great Debate Financial services reform is coming. How will it impact advisors? |
Registered Rep.
September 30, 2009
David A. Geracioti |
Do Retail Financial Advisors Have an "Unhealthy Focus?" The Financial Times suggests the way financial products and services are sold need to be completely overhauled. |
The Motley Fool
March 30, 2010
Morgan Housel |
For Banks, It's Been 800 Days of Christmas A short list of little-known goodies. |
The Motley Fool
October 2, 2008
Rich Duprey |
Well, That Didn't Work SEC isn't letting the failure of its original short-selling ban stop it from extending it. |
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 Advisor
December 2010 |
Frontline News RIAs Transferred To States May Get Dual Exams... Piqued By Peak Oil... The Art Of The Referral... etc. |
The Motley Fool
October 9, 2008
Rich Duprey |
Sell Short to Save the Market! With the short-selling ban expired, market volatility may be lessened. |
On Wall Street
September 1, 2010
Aarti N. Maharaj |
Five Questions With Amy Strong Joining Financial Research Corp. as a research analyst in 2007, she examines the state of the industry and marketing effectiveness. |
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. |
InternetNews
October 7, 2008
Paul Shread |
Technical Analysis: It's the Uptick Rule, Stupid An SEC decision in July 2007 could well be contributing to the current financial crisis. |
Investment Advisor
March 2007
Melanie Waddell |
States' Rights The North American Securities Administrators Association's agenda includes preserving state regulators' authority. |
Registered Rep.
November 16, 2012
Jerry Gleeson |
Tardy Advisors Get a Reprieve Mid-sized RIAs who are behind on switching their registration from federal to state jurisdictions now have until Dec. 17 to get caught up. |
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. |
The Motley Fool
July 25, 2011
Morgan Housel |
A Big Threat to Big Tobacco? Thank you for not smoking. |
Financial Planning
April 1, 2010
Brian Hamburger |
Full Disclosure Protecting client privacy is one of the most important responsibilities of any financial advisor. And it's about to become one of the most time-consuming and highly regulated aspects of the business as well. |
Financial Advisor
February 2004
Tracey Longo |
Facing The Confidence Crisis How you can help clients deal with the mutual fund scandals. |
Financial Advisor
July 2009
Andrew Gluck |
Advisors Who Get Fired In tough times, good advisors should be able to broach touchy subjects with their clients. |
Investment Advisor
May 2010
Melanie Waddell |
30 for 30 Interviews: Mary Schapiro SEC chairman Mary Schapiro talks about harmonizing rules for broker/dealers and advisors. |
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. |
Registered Rep.
June 17, 2009
Christina Mucciolo |
The Fiduciary Battle Continues, Now Under Federal Microscope Among other measures, the Obama administration proposed today that the Securities and Exchange Commission require that broker-dealers offering investment advice be held to the fiduciary standard rather than the suitability standard. |
On Wall Street
January 1, 2010
Matthew Leung |
Getting Retirement Portfolios Back on Track Previous assumptions about asset allocation, diversification and the appropriate levels of risk in portfolios are being challenged. |
Chemistry World
April 24, 2014
Emma Stoye |
European parliament backs new rules on legal highs New regulations that will make it easier to ban legal highs have been backed by the European parliament. |
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. |
Registered Rep.
November 24, 2009
Christina Mucciolo |
Using The "F" Word Down Under, and the Danger of Short Term Debt to U.S. Banks The U.S. Congress is currently trying to cobble together some type of financial regulatory reform and somehow resolve the nettlesome industry debate over the "fiduciary" status. |
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. |
Financial Advisor
February 2010
Sherri Scordo |
Frontline News Financial Services News: Branch Managers Break Away To Independence... Call For Fiduciary Standard Unites Disparate Forces (Sort Of)... Independent Contractor Status Under Review... Retirement Planning Industry To Be A Top Performer In New Decade... more... |
Financial Advisor
May 2009
David J. Drucker |
Crisis Intervention Broker/Dealers unveil new programs to help advisors survive the recession. |
InternetNews
October 26, 2007
Sean Gallagher |
Senate Passes 7-Year Extension to Internet Tax Ban With less than a week before a ban lapses on Internet taxation, the U.S. Senate last night approved a seven-year extension. |
Financial Planning
December 1, 2012
Deena Katz |
Great Expectations? Think British. New Rules to Apply there in 2013 New U.K. regulations will force advisors there to make big changes. You should consider following their lead. |
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? |
The Motley Fool
August 22, 2008
Morgan Housel |
A Stealth Lehman Bailout? Was the Fed's reported intervention a taste of things to come? |
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. |
Financial Planning
June 1, 2009
Paul Menchaca |
Oh, the Drama The broker-dealers who spoke to Financial Planning in this year's annual survey are busy negotiating the downturn by improving their infrastructure, expanding through recruitment and eyeing an economic rebound. |
Financial Advisor
December 2009
Sherri Scordo |
Frontline News Financial sector news: Financial Services Overhaul Getting Closer... McCann Making Mark At UBS... Main Street Securities B-D Now With National Planning... Small B-Ds Could Face Large Audit Costs... more... |
Financial Advisor
June 2007
Sherri Scordo |
Indepedent Broker-Dealers/Financial Advisor's 2007 Snapshot of Leading Firms Advantage Capital Corporation... AIG Financial Advisors... American General Securities, Inc... etc. |
The Motley Fool
September 29, 2008
Rich Duprey |
A Whale of a Short-Selling Tale Protection from shorts goes far beyond the original intention. |
Investment Advisor
January 1, 2011
John Sullivan |
State of Regulation: A Conversation with FSI's Dale Brown The Financial Services Institute will branch out to help advisors with small business issues. |
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? |
Financial Advisor
November 2003
Marla Brill |
Advisors Divided Over Fund Scandals Some think they are isolated cases; others say their faith is being tested. |
Registered Rep.
August 18, 2004
Will Leitch |
SEC Unanimously Votes to Ban Directed Brokerage The 5-0 vote surprised few. Perhaps more worrisome was the call for comment on overhauling or banning outright 12b-1 fees, which were described as disguised commissions. |
Financial Planning
November 1, 2009
Robert Pozen |
Think Twice Congress is seriously debating legislation that would significantly expand the coverage of the Investment Advisers Act, empower the SEC to make rules on advisor compensation and increase the likelihood of lawsuits against advisors. |
Registered Rep.
August 25, 2010
Halah Touryalai |
Better Economic Times Ahead? Your Clients Don't Think So. Advisors seem more optimistic about the economy than their own clients, according to a recent survey. |
