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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.
Investment Advisor March 2006 Melanie Waddell	Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away.
Financial Advisor April 2004 David J. Drucker	Living With The Rules How to keep the SEC happy without going out of business.
Investment Advisor February 2010 Chester Wright	Expert's Corner: Small, Yes, But Compliant How smaller RIA firms can shoulder the compliance burden.
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 July 1, 2011 Thomas D. Giachetti	Are You Prepared for a Regulatory Exam? Learn the steps you need to take to prepare for a regulatory exam.
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.
Investment Advisor September 2010 Thomas D. Giachetti	The Compliance Coach: Will the SEC Ever Learn? Don't Count On It Get ready for new custody and ADV rules, and the $100 million threshold.
Investment Advisor January 2007 Melanie Waddell	Getting Compliance Help Now If you're one of those financial advisory firms that's still dithering on the sidelines hoping that your compliance program is up to snuff, it's time to get serious. A good place to turn for help is the Regulatory Compliance Association's new CCO University.
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.
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. July 8, 2015 Jerry Gleeson	The New Sheriffs In 2012, more than 2,000 RIA firms who had only known the regulatory scrutiny of the Securities and Exchange Commission were transitioned over to the Wild West of state securities regulators.
Financial Advisor July 2009 Sherri Scordo	Compliance Concerns There's a lot of buzz these days about potential changes in compliance rules and the impact on advisors.
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 Planning October 1, 2006 Elizabeth O'Brien	Bookshelf The RIA's Compliance Handbook by Elayne Robertson Demby is a comprehensive guide for registered investment advisors. Readers can earn 20 hours worth of CFP continuing education credits by passing a 35-question exam located in the back of the book.
Investment Advisor October 2007 Melanie Waddell	Making Compliance Headway Four years after the passage of the SEC's "compliance program rule," advisors are still grappling with exactly what their annual review process should entail.
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.
Registered Rep. June 29, 2010 Halah Touryalai	The New Sheriffs In Town The SEC examines about 9 percent of the 11,000 or so advisory firms under its jurisdiction annually. All of that is about to change with a little help from regulators at the state level.
Registered Rep. March 14, 2012 Jerry Gleeson	The Long Goodbye This year, about 3,200 mid-sized RIAs will say goodbye to the Securities and Exchange Commission, transferring their registration to the states where they do business.
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 March 2010 James J. Green	B/D News Bulletins and news of interest to broker/dealers from FINRA and the SEC.
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.
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.
Financial Planning June 1, 2010 Brian Hamburger	Going for Custody As of March 12, new rules for RIAs require special (and expensive) reports and audits for custodial accounts. Are you ready?
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).
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.
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 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 2008 Thomas D. Giachetti	The Three Troubling Themes How to combat compliance misunderstanding and misdirection.
Financial Advisor September 2005 Bruce W. Fraser	How To Survive The SEC Assault Advisors cite a new, more demanding compliance environment. Despite the extra financial and time burden, many advisors feel much better about their businesses, having gone through the compliance process.
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.
Investment Advisor February 2008 Thomas D. Giachetti	Is an IPS the Answer? Investment Policy Statements can be helpful, but remember, longer documents aren't always better.
Financial Advisor December 2010	Frontline News RIAs Transferred To States May Get Dual Exams... Piqued By Peak Oil... The Art Of The Referral... etc.
Investment Advisor March 2007 Melanie Waddell	States' Rights The North American Securities Administrators Association's agenda includes preserving state regulators' authority.
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 November 17, 2010 Danielle Andrus	Form ADV Changes Have Advisors Worried Newly created guides can allay confusion
Investment Advisor July 2006 Thomas D. Giachetti, esq.	Expert's Corner: Passing Muster Is your electronic record keeping up to SEC snuff? Financial advisors should exercise discretion and diligence regarding electronic record retention and communication procedures. When in doubt, retain the hard copy original or make a phone call.
Wall Street & Technology July 27, 2004 Jessica Pallay	Analyzing AML Audits After years of preparation, regulators are ready to see the fruits of Wall Street's hard work on anti-money laundering.
Registered Rep. November 1, 2006 Susan Konig	A Big Trade Off? For advisors looking for further independence through a registered investment advisory firm, compliance burdens can increase. Reps working under an independent b/d's umbrella RIA, also known as "dually registered" advisors, must comply with both NASD and SEC rules.
On Wall Street September 1, 2013 Kenneth Corbin	Money Laundering Among Regulators' Top Priorities Now is the time to bone up on your firm's anti-money laundering policies and learn how to spot the funny money.
Registered Rep. December 16, 2011 Jerry Gleeson	Compliance Outsourcing Gains Favor With RIAs Charles Schwab's RIA Benchmarking Study this year reports that 38 percent of firms were outsourcing their compliance functions, up from 27 percent in 2010.
Financial Advisor October 2010 Andrew Gluck	Pulling The Switch Are state regulators ready to assume oversight of some 4,200 RIAs?
Financial Advisor July 2011 Andrew Gluck	Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance.
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 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...
Investment Advisor July 1, 2011 James J. Green	Complying With Uncertainty The time and expense of compliance has a greater impact on the rule followers than it does on the rule breakers.
Financial Planning September 1, 2006 Jane Worthington	Accounting for Compliance Instead of viewing compliance as a necessary evil, financial advisors should see it as a cost of doing business and learn how to quantify that cost.
Investment Advisor April 1, 2011 Ron Rhoades	An Alternative to FINRA Oversight "I expect FINRA and its allies to continue to push to extend its jurisdiction to some or all investment advisors," says Investment Adviser Association Executive Director David Tittsworth.
Investment Advisor October 2008 Bob Clark	The Real Deal MarketCounsel is focused on taking the independent advisory model to the next level.
Registered Rep. February 1, 2006 Kristen French	Both Sides Now Brokers who hold dual licenses -- both the Series 7 and Series 65 licenses -- will have to take fiduciary responsibility on some accounts. But they can also sell investments, after they make it crystal clear that they're doing so.