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Wall Street & Technology October 27, 2003 Kerry Massaro |
Arthur Levitt Says There will Always Be Abuses Arthur Levitt, chairman of the SEC from 1993 to 2000, discusses some of the pressing regulations on Wall Street and their technology implications. |
Registered Rep. December 16, 2008 Bill Singer |
Have Arthur Levitt's Words Come Back to Haunt Him? On the heels of the recent lurid discoveries about Bernard Madoff's multi-billion-dollar fraud, former SEC Chair Arthur Levitt is quoted in the article as saying: "At this point, I don't see any evidence that the SEC dropped the ball." |
Entrepreneur April 2002 Jennifer Pellet |
Tough Enough Despite speculations of a kinder SEC, Harvey Pitt is cracking down on business... |
Registered Rep. November 1, 2006 John Churchill |
Insider Trading Up in 2006 NYSE Regulation says it expects to refer 140 potential insider-trading cases to the SEC in 2006. |
Investment Advisor September 2008 Melanie Waddell |
Turf Wars A conversation with former SEC Commissioner Roel Campos about the Treasury's Blueprint for financial services reform. |
Salon.com September 25, 2002 Farhad Manjoo |
Investors of the world, unite! Former chairman of the SEC Arthur Levitt declares the time is ripe for fighting back against Wall Street. |
Investment Advisor July 2008 Melanie Waddell |
SEC Chairmen of Yore Speak Six former SEC chairmen pointed to quite a few regulatory challenges that loom large -- namely globalization of the world markets, the burgeoning market for complex synthetic securities, and the continued growth of hedge funds. |
Registered Rep. April 6, 2005 John Churchill |
SEC Adopts Broker-Dealer Exemption Over the vociferous objections of fee-only financial planners, the SEC voted unanimously to permanently adopt the broker/dealer exemption rule, formerly known as the Merrill Lynch exemption. |
Financial Advisor October 2004 Evan Simonoff |
Editor's Note Back in July when the Financial Planning Association filed a lawsuit against the Securities and Exchange Commission, many advisors could be forgiven for wondering if the FPA was losing its grip on reality. |
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. |
The Motley Fool April 14, 2008 Anand Chokkavelu |
Why Paulson's Plan Works Saluting the Secretary of the Treasury's proposed overhaul of financial institution regulations. |
The Motley Fool July 8, 2005 Tom Taulli |
AIG Getting Corporate Governance Religion By hiring Levitt, AIG is demonstrating that it is doing much more than paying lip service to corporate governance. This should not only help prevent future accounting implosions but also help build credibility with investors. |
Registered Rep. January 9, 2007 John Churchill |
To Hedge Gets Harder The SEC proposed a rule in December that would raise the net worth requirements of investors in hedge funds to $2.5 million from $1 million, not including the value of one's home. |
Investment Advisor August 2008 Melanie Waddell |
Wheels of Blueprint In Motion The SEC and the Federal Reserve Board's recent Memorandum of Understanding marks a first step; but Congress says more stringent financial services regulations are warranted. |
Financial Advisor May 2005 Evan Simonoff |
Editor's Note Ohio Republican Michael Oxley addresses the issue of exemption from RIA regulation that the SEC just granted brokers and specifically the Financial Planning Association's lawsuit. |
Registered Rep. December 1, 2002 David A. Geracioti |
Arthur Levitt Gives Up the Goods In his new book, the former SEC chairman writes, "Brokers may seem like clever financial experts, but they are first and foremost salespeople." This book by the longest-serving SEC head ever is a kick in the teeth to brokers, Wall Street, corporate executives -- even former colleagues. |
Bank Systems & Technology June 18, 2009 Maria Bruno-Britz |
The Financial Industry Reacts to Obama Regulatory Proposal Although most agree with the general principles outlined in the President's financial reform plan, they find several sticking points -- and IT won't be immune. |
HBS Working Knowledge April 23, 2008 Dwight Crane |
The Gap in the U.S. Treasury Recommendations U.S. Treasury recommendations for strengthening the regulation of the financial system are a good start but fall short, says Harvard Business School professor emeritus Dwight B. Crane. |
Insurance & Technology June 17, 2009 Anthony O'Donnell |
Insurance Industry Reacts to President's Financial Service Regulation Reform Proposals President Obama's proposals include enhanced oversight of the insurance sector and the establishment of an Office of National Insurance. |
Investment Advisor June 2006 Melanie Waddell |
The Playing Field: Masters at the Helm Former SEC chairman Arthur Levitt and past NASD and Nasdaq Stock Market chairman and CEO Frank Zarb have joined a consulting firm's heavy hitters. |
The Motley Fool June 26, 2006 S.J. Caplan |
Hedge Funds Rule! A federal court strikes down the new "hedge fund rule." The spotlight now shines on the current SEC chairman, Christopher Cox. |
Registered Rep. April 26, 2007 John Churchill |
To Appeal or Not to Appeal? SEC Feels Heat Over Pro-FPA Court Ruling The SEC is feeling lobbyist pressure from both sides as it prepares to either appeal or let stand the ruling by a Federal Court of Appeals that vacated the "Merrill Lynch" rule. |
The Motley Fool August 11, 2010 Alyce Lomax |
Pop the Champagne! RegFD Turns 10 Regulation Fair Disclosure, or Reg FD blocked corporate managers from sharing material information only with select Wall Street analysts; they were now required to share it publicly. |
Bank Systems & Technology May 28, 2009 Maria Bruno-Britz |
U.S. Banking Sector One Step Closer to Super Regulator Reports indicate that plans may be in the works to consolidate the current array of financial services regulatory agencies into one body. |
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. |
Reason January 2009 Katherine Mangu-Ward |
Is Deregulation to Blame? The new Washington consensus says "yes." The facts on the ground say something different. |
Registered Rep. September 18, 2007 |
Cease and Desist Order Looms for NEXT Financial Group The Securities Exchange Commission issued an Order Instituting Cease-and-Desist Proceedings against the independent broker/dealer late last month. |
Financial Planning February 1, 2012 John F. Wasik |
State of Regulation As states take over regulation of RIAs with up to $100 million in assets under management, many firm owners are wondering if the transition will prove difficult. |
Wired February 2002 Adam Lashinsky |
The Post-Enron Economy Sometimes it takes a meltdown to force regulators into action... |
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. |
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. April 1, 2008 Halah Touryalai |
Clients in Your Pockets Playing hopscotch from one firm to another, without losing all of your clients, may soon get a little easier. That is, if the SEC's proposed amendment to privacy policy rules, also known as Regulation S-P, is approved. |
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. |
Investment Advisor January 2009 Melanie Waddell |
Watch Out. Reform In on the Way As the New Year unfolds, one thing is certain: financial services regulatory reform will be hotly debated in the 111th Congress, and perhaps some reforms will actually be put into place. |
Financial Planning August 1, 2009 Bob Veres |
A Swiftly Tilting Planet How will brokers and financial advisors fare in the government's battle to regulate the securities industry? |
Registered Rep. September 15, 2010 Kristen French |
Investors Think Insurance Agents, Brokers Are Fiduciaries Investors believe everyone who provides financial advice is already a fiduciary, according to a survey released Wednesday by a group of investment adviser and consumer protection groups. |
The Motley Fool November 1, 2005 |
Selective Disclosure, Explained The SEC instituted a "Fair Disclosure" rule that prohibited public companies from alerting analysts and major investors to important changes before disclosing that information to the general public. So what has happened since the rule went into effect? |
Registered Rep. January 19, 2011 Kristen French |
In Dodd-Frank Report, SEC Champions User Fees Over SRO The study and report were meant to address a trifecta of problems: a history of weak oversight of investment advisers, current shortfalls in SEC funding and the regulator's rapidly expanding responsibilities under Dodd-Frank. |
Investment Advisor May 1, 2011 Bob Clark |
The Polar Bears Thawing out our modern black and white thinking could save the fiduciary standard. I don't usually write about politics, except when it has a direct impact on financial advice, and this appears to be one of those times. |
Investment Advisor July 2010 Melanie Waddell |
A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward. |
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 October 15, 2010 Bill Barker |
Why We Oppose 12b-1 Fees This little sales charge doesn't benefit existing shareholders, is insufficiently transparent, and the SEC has a new proposal to limit that fee. |
Financial Advisor November 2009 Jeff Schlegel |
The Great Debate Financial services reform is coming. How will it impact advisors? |
Registered Rep. February 13, 2012 Kristen French |
Due Diligence: Obama Budget Showers SEC with Money, SRO Debate Still Strong According to the SEC's budget request, the regulator would use a chunk of that to fatten up its exam program, adding over 200 examiners. |
Registered Rep. December 14, 2005 David A. Geracioti |
NYSE Regulators to Member Firms and Reps: We Are Watching You Broker/dealers had a very strong 2005. But so too did the regulators. |
CFO August 1, 2007 Kate O'Sullivan |
The SEC Rules Five years after Sarbanes-Oxley, the SEC is flexing its regulatory muscle as never before. |
BusinessWeek October 13, 2003 Robert Kuttner |
The Big Board: Crying Out for Regulation The Grasso pay debacle means the SEC should supervise the NYSE. |
Bank Director 3rd Quarter 2009 John Berlau |
Overregulation Plan Won't Fix Financial Crisis Initial reports indicate that these early hopes of a more accountable regulatory structure from the Obama administration have been dashed. |
Investment Advisor February 2007 Melanie Waddell |
Watch Out Broker/dealers and RIAs alike should ready themselves for a number of initiatives being worked on by their regulators in the New Year. |
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. |