| Similar Articles |
|---|
 |
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   |
Pharmaceutical Executive
October 1, 2014
Ogden & Holtman |
Open-Source Option Against Capital Crunch Is crowdfunding an attractive alternative to finance pharma and biotech start-ups? |
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. |
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. |
The Motley Fool
December 26, 2006
Dan Caplinger |
The SEC's Gift to You Securities regulation helps guard investors against fraud. |
Investment Advisor
June 2010
Jeff Joseph |
The Venture Populist: It's Bunk Early-stage businesses should be entirely exempt from the Reg D accredited investor provisions. |
The Motley Fool
June 30, 2005
Tom Taulli |
IPOs Quiet No More The SEC can agree on some things, such as allowing companies to say more during an offering. So, how does this help investors? |
On Wall Street
May 1, 2011
Lorie Konish |
SEC To Revise Rules On Accredited Investors While proposed changes to the federal definition of an accredited investor seek to boost protection for investors participating in non-public offerings, financial advisors must approach the investments with vigilance, legal experts say. |
The Motley Fool
December 8, 2011
Alex Planes |
So You Want to Invest in a Start-up? Similar bills in Congress might give ordinary investors a way in. |
Financial Advisor
October 2012
Gail Liberman |
Funds From The Madding Crowd A controversial new law will allow small businesses to raise $1 million in capital annually without registering with regulators. Thanks to the jumpstart our Business Startups Act enacted on April 5, there's a new concept triggering buzz, both positive and negative, among financial advisors. |
The Motley Fool
February 9, 2007
Dan Caplinger |
Millionaires Need Protecting, Too Regardless of how this issue plays out, expect continuing friction between the SEC and the hedge-fund industry. In the meantime, if you want to use alternative investments, you'd best get started toward the new $2.5 million mark. |
Investment Advisor
March 2007
Melanie Waddell |
States' Rights The North American Securities Administrators Association's agenda includes preserving state regulators' authority. |
Entrepreneur
February 2007
David Worrell |
Stock Support Save time and money when selling stock in your company to raise money. |
The Motley Fool
December 26, 2006
Dan Caplinger |
The SEC's Gift to You: Part 2 By giving the investing public access to information, and serving as a regulator with the power to take action to correct problems, the SEC works hard to protect investors. |
Commercial Investment Real Estate
May/Jun 2015 |
Crowdfunding Conundrum Late last year the SEC indicated that it will finalize the equity crowdfunding rules by October 2015, but plan on saving your nickels and dimes until January 2016, the earliest the rules could take effect. |
On Wall Street
May 1, 2013
Cumming & Horwitz |
SEC Takes on Structured Notes Large banks need to provide better information on these complex securities sold to the wealthy, regulator says. |
CFO
December 1, 2011
Alix Stuart |
Capital Ideas on Capitol Hill Congress rushes to help smaller companies raise funds more easily. |
Registered Rep.
March 10, 2011
Kristen French |
SEC Says Bigger Budget Is Supported By BCG Report In testimony before Congress Thursday, SEC Chairman Mary Schapiro made a case for an increase in the agency's funding to $1.407 billion for 2012. |
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? |
On Wall Street
March 1, 2013
Alan J. Foxman |
Giving Proper Thanks for a Referral How to walk the fine line between expressing gratitude for a referral and divulging a new client and also a discussion of the legal status of crowdfunding sites. |
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.
April 8, 2005
John Churchill |
`Merrill Rule' Debate Not Over The SEC unanimously voted to allow Series 7 holders, or registered reps, to position themselves as financial advisors -- with certain caveats. But once again the SEC seemed to hedge its bet. So the debate rages on. |
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. |
CFO
February 1, 2005
Ronald Fink |
Finders Keepers The SEC is hearing new demands to make it easier for small companies to raise capital. |
Investment Advisor
January 1, 2011
Jeff Joseph |
The Good, The Bad and Reg D Though initially intended to enable entrepreneurship and small business financings, the legitimate users of Reg D have been eclipsed by the scamsters. |
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. |
Registered Rep.
May 14, 2007
John Churchill |
"Merrill Lynch" Rule Dead, But SEC to Ask for Time The securities industry still hopes that the SEC will somehow come up with a new plan to keep the fee-based brokerage account from coverage by the Investment Advisers Act of 1940, which mandates that to offer financial advice, you have to be a fiduciary. |
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 |
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? |
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. |
Registered Rep.
September 19, 2007
John Churchill |
SEC Relaxes Principal Trading Rules, Temporarily The SEC eased principal trading restrictions on certain non-discretionary accounts that would have been affected by the recent court ruling on the broker/dealer exemption. |
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. |
National Defense
September 2011
McGrath et al. |
New Rules Give Incentives to Whistleblowers As more than 1,500 letters to the SEC during the notice and comment period confirm, the Dodd-Frank whistleblower requirements are complex and the program is controversial. |
Financial Planning
November 1, 2006
Marianne Czernin |
Compliance Tips Registered reps have lots of eyes watching them. Supervisors, compliance personnel, sales directors, and operations all scrutinize reps' activities. But these aren't the only people interested in reps' movements. |
Registered Rep.
February 1, 2005
John Churchill |
A Monster Issue Will the SEC withdraw the Broker-Dealer Exemption, causing reps to back away from adviser status? If so, the impact could cause substantial disruption in the markets. |
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. |
Commercial Investment Real Estate
Jan/Feb 2005
Ronald L. Raitz |
The ABCs of TICs TIC deals offer individual investors the opportunity to pool funds, secure more financing, and take on ownership interests without property management headaches. Learn the fundamentals of this 1031 exchange strategy. |
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.
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. |
Investment Advisor
November 17, 2010
Thomas D. Giachetti |
Will You Stay SEC Registered in 2011? Regulatory changes could cause confusion for advisors |
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. |
Registered Rep.
June 1, 2012
Kristen French |
Blotter: June 2012 Mark Spangler, Nicholas Louis Geranio, and David Blech have each violated federal securities laws. |
Financial Planning
July 1, 2005
James A. Barnash |
Why We're Suing The FPA president explains the lawsuit over the SEC's broker-dealer rule that exempted certain broker-dealers from disclosure standards that apply to investment advisers and most financial planners. |
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. |
Commercial Investment Real Estate
Jan/Feb 2011
Eugene Trowbridge |
The Climate for Group Investing Syndications, where resources from multiple real estate investors are pooled, offer a ray of sunshine for transaction brokers. |
Registered Rep.
June 24, 2009
John Churchill |
SEC Says Time To Tighten Rules On Money Market Funds After one of the oldest and largest money market funds suffered such severe redemptions that the net asset value of its shares fell below $1, the SEC is proposing structural and regulatory changes for money markets |
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. |
BusinessWeek
December 9, 2010
Alexis Leondis |
The Hidden Hazards of Private Placements Some retirees who qualify as accredited investors based on their assets may lack the expertise to evaluate private placements. |
Financial Planning
March 1, 2007
Lynn Hume |
The Bond Buyer SEC Votes on Rules for Rating Agencies: The proposed rules would implement provisions of the Credit Rating Agency Reform Act of 2006, which Congress approved and President Bush signed to foster increased competition, transparency and accountability among rating agencies. |
BusinessWeek
May 20, 2010
Jesse Westbrook & David Scheer |
How Big a Hit Will Goldman Take? Congress and the public expect the SEC to extract a big fine |
