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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 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.
Investment Advisor August 2010 Melanie Waddell	Advice to the SEC When it comes to the fiduciary standard, Capital Analysts President and CEO Matt Lynch says advisors "want to be sure the SEC seeks and gathers input from the industry as to how to implement these important changes."
Investment Advisor May 2010 James J. Green	Simple, Not Simplistic Tom Giachetti preaches a simple approach to compliance for advisors: Know what you need to do, but also what you don't need to do.
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.
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.
Investment Advisor June 1, 2011 Thomas D. Giachetti	From Deadlines to Lifelines The SEC extension of registration deadlines provides a potential grace period for stressed out advisors.
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 10, 2010 Jerry Gleeson	New RIA Custody Rules In Force Friday New rules aimed at preventing registered investment advisors from pulling off ponzi schemes are now in effect.
Investment Advisor July 1, 2011 Bob Clark	If You Want Something Done Right It's beginning to look like the only way Dodd-Frank reregulation is going to turn out well is if RIAs form their own SRO.
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.
Registered Rep. January 15, 2009	Schapiro's Replies: Blame The SEC--Not FINRA--For Madoff It wasn't her job, man.
On Wall Street November 1, 2009	Marcia Kramer Mayer Marcia Kramer Mayer of NERA Consulting speaks about how the SEC should look to the example set by the IRS, which uses computerized searches to identify investment fraud problems.
Investment Advisor July 2010 Melanie Waddell	A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.
Investment Advisor March 1, 2011 Melanie Waddell	SEC Fiduciary Rule May Hit by Summer Despite the advisory industry's hopes that the Securities and Exchange Commission would get a quick start on writing a rule to put brokers under the same fiduciary standard as advisors, it looks as though a rulemaking could come by summer.
Registered Rep. September 2, 2009 John Churchill	SEC Blew It With Madoff, Inspector General Says SEC Chairman Mary Schapiro announced the release today of the Office of the Inspector General's report on the Bernard Madoff fraud. It says, in short, the SEC screwed up in every way possible.
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. March 1, 2008	Plain English: The Cost of Compliance The SEC voted in February to propose changes to the structure of the Form ADV, the disclosure document that all investment advisors must complete.
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.
Financial Planning September 1, 2012 Bob Veres	Why Doesn't the RIA Community Come Up With Better Proposals? Instead of fighting against bad proposals, shouldn't the RIA community be proposing better alternatives? We assume that the goal of the Dodd-Frank Act is to tighten up lax RIA regulation.
On Wall Street December 1, 2010 Alan J. Foxman	When FINRA Intervenes Even non-member firms (such as registered investment advisors) can voluntarily agree to use either FINRA's arbitration or mediation services.
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.
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?
Financial Advisor January 2004 Jay Gould	Washed Up On The Banks Of Denial The SEC has changed its policies regarding anti-fraud consent injunctions. How should investment advisors react?
On Wall Street August 1, 2009 Mark Astarita	Changes at the SEC: Schapiro Should Be Benefit to Advisors One can expect that as head of the SEC Mary Schapiro will understand the impact of new rule proposals and enforcement initiatives and will temper the calls for more extreme changes that would ultimately harm the markets and the financial industry.
Investment Advisor March 1, 2011 Thomas D. Giachetti	Get Form ADV Right New requirements and changing deadlines could make filing Form ADV a tricky business.
Financial Planning May 1, 2008 Rick Cortese	New Form ADV 2 On March 3, 2008, the SEC proposed amendments to Form ADV Part 2.
Financial Advisor July 2011 Andrew Gluck	Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance.
Investment Advisor July 2009 Bob Clark	Clark at Large: Reality Check Washington is far more likely to tweak the existing system than to rewrite the investment advisor legislation.
Investment Advisor May 2008 Melanie Waddell	Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers.
Financial Advisor October 2012 Brian Hamburger	Sleight Of Hand The apparent death knell of Finra as an SRO by no means signals victory.
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.
Investment Advisor February 1, 2011 Thomas D. Giachetti	2011 Compliance Checklist Ten compliance issues registered advisory firms must consider in the new year.
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.
Registered Rep. March 4, 2009 John Churchill	SEC Sued by Stanford Group Advisors for Violation of Constitutional Rights The SEC has frozen client accounts of Stanford Financial Group advisors, and has ordered them not to communicate with their clients. The advisors are fighting back.
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. 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."
Registered Rep. February 17, 2009	News Roundup: $8 Billion Fraud, Market Tests Lows And Michael Moore "Investigating" Wall Street Robert Allen Stanford and three of his financial companies have been charged with orchestrating an $8 billion fraud...Michael Moore looking for Wall Streeters... A cartoon video...
On Wall Street April 1, 2013 Kenneth Corbin	SEC Zeros In on Potential Conflicts of Interest The regulator's staff will investigate nondisclosures, misrepresentations, and more.
Investment Advisor March 2009 James J. Green	Broker/Dealer Briefing: A Shot Over the Bow FINRA is quietly conducting a sweep of broker/dealers that could be the first steps to having the SRO take over regulation of registered investment advisors from the SEC -- something the former NASD has long desired.
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 February 2010 Chester Wright	Expert's Corner: Small, Yes, But Compliant How smaller RIA firms can shoulder the compliance burden.
Investment Advisor December 21, 2010 James J. Green	FSI Endorses FINRA as SRO for Investment Advisors Dale Brown says FINRA option is "best way to address the regulatory gap."
Financial Planning August 1, 2009 Ken Fisher	SEC Calling If you haven't violated any securities laws or otherwise abused client trust, you have nothing to fear.
On Wall Street February 1, 2010	Five Questions with David Tittsworth David Tittsworth has served in all three branches of government and discusses ways to police the advisory business.
Investment Advisor May 2010 Melanie Waddell	30 for 30 Interviews: Harry Markopolos Independent financial fraud investigator Harry Markopolos identifies strengths and weakness of the SEC.
Financial Planning July 1, 2008 Jane Worthington	Deficiency Letter 411 The SEC is running a pilot program to develop a standardized approach to the SEC deficiency letters presented to firms after an SEC examination.
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.
Investment Advisor February 2010	GroupThink News from the Investment Management Consultants Association and the SEC.
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.