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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. mark for My Articles similar articles
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." mark for My Articles similar articles
Entrepreneur
April 2002
Jennifer Pellet
Tough Enough Despite speculations of a kinder SEC, Harvey Pitt is cracking down on business... mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Reason
January 2009
Katherine Mangu-Ward
Is Deregulation to Blame? The new Washington consensus says "yes." The facts on the ground say something different. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Wired
February 2002
Adam Lashinsky
The Post-Enron Economy Sometimes it takes a meltdown to force regulators into action... mark for My Articles similar articles
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. mark for My Articles similar articles
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). mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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? mark for My Articles similar articles
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. mark for My Articles similar articles
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? mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
July 2010
Melanie Waddell
A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Advisor
November 2009
Jeff Schlegel
The Great Debate Financial services reform is coming. How will it impact advisors? mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
BusinessWeek
October 13, 2003
Robert Kuttner
The Big Board: Crying Out for Regulation The Grasso pay debacle means the SEC should supervise the NYSE. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles