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Investment Advisor
November 17, 2010
Thomas D. Giachetti |
Will You Stay SEC Registered in 2011? Regulatory changes could cause confusion for advisors   |
Investment Advisor
February 2007
Thomas D. Giachetti |
When Should You Register? Should an investment advisor with $30 million of "assets under management" register with the SEC? It depends on whether the advisor has "qualifying" assets under management. |
On Wall Street
September 1, 2010
Alan J. Foxman |
Ponzi Schemes And Problems Paying Fines Q&A: What does it mean for advisors that records are now available to the general public online?... How will arbitration payments I must make but cannot afford right now affect my license?... more... |
Financial Advisor
May 2005
Gail Liberman |
Understanding Real Estate Exchange Deals Here are some guidelines to help financial advisors assess the value of 1031 real estate exchanges. |
Financial Advisor
April 2006
Eric L. Reiner |
Ins And Outs Of Restricted Stock Two varieties of restricted securities are flowering, aiding executives, business owners -- and now investors. Here's what financial advisors need to know about restricted stock units. |
OCC Bulletin
June 26, 2003 |
Securities Offering Disclosure Rules Reporting and disclosure requirements for National Banks with securities registered under the Securities Exchange Act of 1934 |
Investment Advisor
July 2007
Kathleen M. McBride |
Going Private Hear that? It's the sound of a very big door opening into the elite, large, 144A private securities marketplace. |
Registered Rep.
November 1, 2006
Jacob H. Zamansky |
Fighting the U5 The troubling reality is that the fate of the entire securities industry now resides squarely with the Court of Appeals. Fortunately the bench is full of very thoughtful and practical judges, who will hopefully see the wide-ranging impact this ruling will have. |
On Wall Street
May 1, 2011
Alan J. Foxman |
New York Or Bust Readers ask about licensing requirements, one-person operations, and moving to a new firm. |
Registered Rep.
June 1, 2004
Bill Singer |
The Downside to the Rube Defense Time was, the perfect stockbroker was equal parts salesman and stockpicker, but these days you have to throw a good measure of lawyering into the mix. Anthony Barkate's problems came from relying on bad legal advice about whether an instrument was technically a "security." |
On Wall Street
October 1, 2008
Donna Mitchell |
Auction-Rate Securities Dust Settles, But What About Small Brokerages? Observers expect red faces as regional brokerage customers are left out of the settlements and advisors better prepare for some harsh words. |
OCC Bulletin
January 15, 2004 |
Reporting and Disclosure Requirements for National Banks with Securities The final rule, entitled "Reporting and Disclosure Requirements for National Banks With Securities Registered Under the Securities Exchange Act of 1934; Securities Offering Disclosure Rules," amends 12 CFR 11 and 12 CFR 16. |
Financial Planning
May 1, 2010
Paul Menchaca |
The Road Ahead Securities America's executive team seems to view its stellar growth with a mix of pride, and a small degree of hesitation. |
On Wall Street
July 1, 2009
Alan Foxman |
Expunged Arrest from Past Still Haunts Advisor Readers questions regarding expunged arrest, private placements, and arbitration actions against advisors are answered. |
Financial Planning
January 1, 2005
David Grau |
Legally Bound If you have never bought or sold a financial advisory practice before, know that doing so comes with risks, too. Work with a law professional, but remember who's in charge. That's how to push your business over the top. |
Registered Rep.
June 23, 2011
Diana Britton |
Ladenburg Thalmann Possible Buyer in Securities America Sale Ladenburg Thalmann, parent company of Triad Advisors and Investacorp, has emerged as a potential buyer of Securities America, which Ameriprise Financial announced plans to sell in late April. |
On Wall Street
August 1, 2011
Alan J. Foxman |
When Advertising Is Advertising Marketing a book to existing and prospective clients is considered advertising... Report your employment history as of the date you're filing for registration... |
Registered Rep.
April 28, 2005
John Churchill |
NASD Sends Older Reps Back to the Classroom All registered reps are required to complete the regulatory sections of the NASD's continuing education curriculum. According to the Securities Industry/Regulatory Council on Continuing Education, there are currently 109,000 exempted reps that will now have to take the test. |
Investment Advisor
May 1, 2011
Janet Levaux |
Securities America Denies Charges of Departing Reps Anonymous sources insist advisors are leaving or planning to leave the firm |
Investment Advisor
April 1, 2011
Thomas D. Giachetti |
Dodd-Frank: An Overview Of Pending Changes For Investment Advisors Dodd-Frank deadlines are fast approaching. Are you ready? |
Registered Rep.
April 1, 2006 |
Mudslinger Stains Q: I've been a broker for 22 years and worked for two of the largest brokerage firms in the world. Several years ago, I received a phone call from a long-standing client, who'd received something strange in the mail... A: Document what is taking place... etc. |
Wall Street & Technology
July 1, 2005
Maria Santos |
Fast Facts According to the Securities Industry Association's 2004 Investor Survey, nine out of 10 investors are "very" or "somewhat" satisfied with the service provided by their investment professional. |
Registered Rep.
July 12, 2011
Charles Paikert |
Family Office Quandary May Benefit Wealth Managers For single-family offices, a recent Securities and Exchange Commission ruling marked the beginning of an identity crisis writ large -- one that will reshape the family office business and may ultimately benefit wealth and asset managers. |
On Wall Street
January 1, 2012
Alan J. Foxman |
The Disclosure Dilemma When and what needs to be disclosed on the U4? |
Registered Rep.
March 1, 2008
John Churchill |
Fix Advisor Laws! Laws should reflect the fact that the differences between registered reps and registered investment advisors have largely evaporated. |
Registered Rep.
March 9, 2012
Kristen French |
Due Diligence: SEC Gives 70-Year-Old Broker a Break Back in the late 1970s, at the start of his career, Robert Hardee Quarles got himself into trouble -- offering and selling non-exempt securities without a valid and effective registration statement and also misleading his customers about the nature and risks of those securities. |
Registered Rep.
June 1, 2005 |
The Cost of Compliance Q: My current firm recently hired a non-licensed wholesaler to begin marketing our mutual fund family. What liability do I have, given that the wholesaler is not licensed? |
IndustryWeek
September 1, 2005 |
Finance: True To Reform New rules affecting the ways companies offer and register securities are slated to take effect on Dec. 1, 2005. |
On Wall Street
February 1, 2011
Alan J. Foxman |
Reading The Fine Print Advisors write in for legal advice regarding contracts, client lawsuits, non-compete agreements and other concerns. |
On Wall Street
October 1, 2011
Alan J. Foxman |
Preparing for Backup Advisor Q&As: Solo practitioners backup each other?... Upcoming requirements mean mid-size advisors must register with states?... Disclosing old misdemeanors?... more... |
Financial Advisor
March 2012
Mike Byrnes |
Massachusetts Addresses Social Media Regulation Results from a July 2011 survey by the Massachusetts Securities Division found a significant growth trend in advisors using social media, but also found compliance deficiencies in existing social media regulations. |
Financial Advisor
September 2005 |
Editor's Note Following the ironic twists and turns of the Securities and Exchange Commission's so-called Merrill Lynch rule brings to mind how so many things in life and business often take a turn we never could have anticipated. |
Investment Advisor
March 2007
Melanie Waddell |
States' Rights The North American Securities Administrators Association's agenda includes preserving state regulators' authority. |
Registered Rep.
December 1, 2005
Andrew Osterland |
Brokering Advice The essential difference between brokers and registered advisors, say financial planners, is fiduciary duty. The notion that b/ds have a lighter burden of regulation than registered advisors, however, is something the securities industry vigorously disputes. |
Entrepreneur
February 2007
David Worrell |
Stock Support Save time and money when selling stock in your company to raise money. |
Financial Planning
August 1, 2011
Donna Mitchell |
Ready to Commit Omaha, Neb.-based Securities America is one of Ameriprise's five broker-dealer subsidiaries. That Ameriprise, based in Minneapolis, announced its intention in March to sell the independent broker-dealer without a buyer lined up is also unusual. |
Registered Rep.
May 1, 2005 |
Research Requirements What specific rules or restrictions, particularly NASD/SEC rules, govern third-party research providers? |
On Wall Street
February 1, 2011 |
Five Questions With David Massey The deputy securities administrator for the state of North Carolina, began a one-year term as president of the North American Securities Administrators Association in September. |
Registered Rep.
April 29, 2005
John Churchill |
FPA Sues to Stop Broker-Dealer Exemption The Financial Planning Association believes that the SEC rule which allows registered reps to call themselves financial advisors is contrary to law and encourages broker-dealers to engage in self-dealing with their clients without disclosing their conflicts of interest. |
The Motley Fool
May 3, 2005
Dayana Yochim |
When to Downsize Your Pro Good, affordable financial help is so hard to find these days. You should settle for nothing less. |
Investment Advisor
April 11, 2011
Melanie Waddell |
SEC to Meet Dodd-Frank's July Deadline on 'Switch,' Private Fund, Venture Fund Advisors While final rules will be out by July 21, SEC will give advisors more time to comply |
Commercial Investment Real Estate
Nov/Dec 2013
Taylor & Trowbridge |
Group Investing Update Changes to securities laws may change your business model. |
Bank Systems & Technology
July 5, 2004
Ivan Schneider |
SEC to Banks: Selling Securities? Get a License Industry convergence slowed by multiple regulators and accounting system limitations. |
Wall Street & Technology
May 19, 2008
Ivy Schmerken |
A Freeze in Auction-Rate Securities Opens a Door for the Restricted Securities Trading Network In the wake of the credit crisis, Restricted Stock Partners' Restricted Securities Trading Network, which was designed to trade restricted stocks, is rescuing investors trapped in auction-rate securities. |
Financial Advisor
November 2011
Joni Youngwirth |
Outside The Box The pros and cons of choosing an external successor. |
Registered Rep.
March 30, 2007
John Churchill |
Surprise! FPA Wins Lawsuit Against SEC and the Broker-Dealer Exemption Three years after suing the SEC over the controversial "Broker Dealer Exemption" rule, a federal court has ruled that the SEC exceeded its authority in adopting the rule. |
OCC Bulletin
April 9, 2002 |
Risk-Based Capital A final rule permits banks to reduce the risk weight on certain claims against qualifying securities firms from 100 percent to 20 percent... |
Registered Rep.
March 1, 2006 |
Whose Lawyer Is It Anyway? Q: My firm and I have been named in an arbitration filed by a former client. The firm agreed to provide me with a lawyer who is representing it, too. Do I have any reason to be concerned about this joint representation?... A: This is the classic problem that many brokers face... etc. |
Registered Rep.
September 21, 2007
Halah Touryalai |
Banks Officially Welcomed into the Brokerage World Under New SEC Rule It only took eight years, but the SEC and the Board of Governors of the Federal Reserve System passed final rules defining how banks can act as securities brokers. |
Registered Rep.
November 4, 2008 |
Top Merrill FAs Playing Hardball With Retention Package They have taken the first step towards getting changes made by collectively hiring a lawyer, who "ripped the retention contract to shreds." |
