Federal Trade Commission

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  White Sworn In as SEC Chief; Walter, Paredes Likely Leaving SEC Soon

  By Melanie Waddell, AdvisorOne  |  April 10, 2013

  Interim Chairwoman Elisse Walter will remain at the agency as a commissioner, but it doesn't look like she'll be there for long, David Tittsworth of IAA said.

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  8 Massive Hack Attacks Aimed at Financial Data

  By Dan Berman, AdvisorOne  |  November 12, 2012

  The spread of financial services offered on the Web has led to an increasing number of hacking incidents, which put customer accounts, data and money at risk. Ace Private Risk Service's Gary Raphael offers some data security advice.

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  SEC, CFTC Issue Joint Rule Proposal on Identity Theft

  By Melanie Waddell, AdvisorOne  |  February 28, 2012

  The SEC on Tuesday announced a rule proposal to help protect investors from identity theft by ensuring that broker-dealers, mutual funds, and other SEC-regulated entities create programs to detect and respond appropriately to red flags.

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  Privacy Policies and Rules

  By Les Abromovitz  |  January 1, 2012

  Whether an RIA is SEC or state-registered, the firm must have policies and procedures in effect to protect clients’ privacy. Policies and procedures should explicitly require an RIA to send out its privacy notice each year.

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  NAACP, Partners Launch Financial Education Program

  By Marlene Y. Satter, AdvisorOne  |  September 26, 2011

  The NAACP announced Friday that, with partners that include Wells Fargo, the National Foundation on Credit Counseling, and the Financial Planning Association, it is launching the Financial Freedom Center Satellite program.

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  Dodd-Frank Anniversary: Law Costs Agencies Millions, GAO Says

  By Melanie Waddell, AdvisorOne  |  July 18, 2011

  At the one-year anniversary of Dodd-Frank, the GAO has released a list of 11 federal agencies' reported funding and staff resources needed to implement Dodd-Frank until 2012.

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  11 Ways to Prevent Identity Theft in Tax Season: Identity Finder

  By Kathleen McBride, AdvisorOne  |  March 24, 2011

  Identity Finder is cautioning taxpayers about increased exposure to identity theft, saying that the amount of personal data that is in transit electronically over the tax season can make individuals more vulnerable to identity predators, according to a news release on Thursday.

• The Rise of the Regulators

  By Kenneth Silber, Research  |  February 1, 2011

• Financial Reform Over the Decades: A Timeline

  By Kenneth Silber, Research  |  July 15, 2010

  The financial services reform legislation, which the Senate passed, 60-39, on Thursday, July 15, is the latest in a century-spanning series of efforts to revamp financial and securities activities through regulation.

• Swept Away?

  By Marlene Y. Satter, AdvisorOne  |  May 1, 2007

  The repercussions from Hurricane Katrina have not yet died down, and the effects may reach much farther than the need to rebuild. Insurance companies are on...