Mary L. Schapiro

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  The Custody Rule and its Ramifications

  By Les Abromovitz  |  January 1, 2012

  When an RIA takes custody of a client’s funds or securities, risk to that individual increases dramatically. Rule 206(4)-2 under the Investment Advisers Act (better known as the Custody Rule), was passed to protect clients from unscrupulous investors.

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  Whistleblowers

  By Les Abromovitz  |  January 1, 2012

  A whistleblower is any individual providing the SEC with original information related to a possible violation of federal securities law.  The Dodd-Frank Act established a whistleblower program that enables the SEC to reward individuals who voluntarily provide such information.

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  Pay-to-Play Rule

  By Les Abromovitz  |  January 1, 2012

  Violating the pay-to-play rule can result in serious consequences, and RIAs should adopt robust policies and procedures to prevent and detect contributions made to influence the selection of the firm by a government entity.

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  Recent Changes in the Regulatory Landscape

  By Les Abromovitz  |  January 1, 2012

  2011 marked a major shift in the regulatory environment, as the SEC adopted rules for implementing the Dodd-Frank Act.  Many changes to Investment Advisers Act were authorized by Title IV of the Dodd-Frank Act.  

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  Why Women in Wealth Matter

  By Kathleen McBride, AdvisorOne  |  February 23, 2011

  It’s nearly time to nominate the 50 Top Women in Wealth. Here is why it is important.

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  SEC’s Aguilar Sees Need for Stronger Agency

  By Kathleen McBride, AdvisorOne  |  February 8, 2011

  Four ‘resolutions’ and ‘wishes’ for 2011, intended to boost investor protection and confidence in markets.

• SEC Proposes ‘Security-Based Swap Execution Facility’ Rules

  By Kathleen McBride, AdvisorOne  |  February 2, 2011

  Instead of trading over-the-counter, as these have, the SEC wants to add ‘transparency, efficiency, and competitiveness’ and oversight.

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  Why Women Executives Lose Power and 10 Ways to Keep It

  By Kathleen McBride, AdvisorOne  |  January 25, 2011

  Henna Inam, a CEO coach who writes for The Glass Hammer e-newsletter, says too many women 'give away their power.'

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  8 Surprising Findings in the fi360-AdvisorOne Fiduciary Survey

  By Kathleen McBride, AdvisorOne  |  January 19, 2011

  Most brokers and advisors say extending the fiduciary standard to brokers won’t cost investors more or limit their choices; would help restore investor confidence.

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  Municipal Bond Regulation: Time to Repeal the Tower Amendment?

  By Kathleen McBride, AdvisorOne  |  December 14, 2010

  Too bad there’s no expiration date on the 1975 amendment exempting municipal bond issuers from making disclosures to potential investors.