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By Melanie Waddell, AdvisorOne |
March 2, 2012
Proposed changes include not only unifying BrokerCheck and the SEC’s IAPD system, but also divulging broker/advisor test scores.
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By Marlene Y. Satter, AdvisorOne |
December 22, 2011
Client privacy, branch supervision and money manager due diligence top Tom Giachetti's compliance list. And make sure your CCO has real power and knowledge.
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By Marlene Y. Satter, AdvisorOne |
December 21, 2011
Advisors, listen up: if you aren’t already doing all the things your compliance manual and supervisor say you are, you’d better start.
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By Melanie Waddell, AdvisorOne |
July 15, 2011
Two areas of uncertainty remain for BDs regarding FINRA's new rule requiring operations personnel to take a FINRA exam: which personnel must take the exam and which exam they will take.
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By Melanie Waddell, AdvisorOne |
September 15, 2010
Of the thousands of comment letters that the SEC received before it started the formal study of putting brokers under a fiduciary standard of care, one caught my eye.
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By Melanie Waddell, AdvisorOne |
August 30, 2010
Monday, August 30, marks the last day the Securities and Exchange Commission (SEC) officially accepts comment letters regarding the study the securities regulator is to conduct on putting brokers under a fiduciary standard of care.
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By Ellen Uzelac |
February 1, 2009
With the credit crisis, real estate dive and market meltdown, 2008 is a year we would all like to forget. Our best advice: Don't. The...
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By Susan B. Weiner |
May 1, 2006
Spring is here and with it, increased SEC regulation. All RIAs want to put their clients' interests first. If only compliance didn't cost advisors so...
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By Melanie Waddell, AdvisorOne |
March 1, 2006
Ask any advisor what their biggest bugaboo is these days and they're sure to utter one word: compliance. Over the past few years, the SEC...
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By Melanie Waddell, AdvisorOne |
July 1, 2005
Investment advisors and mutual funds are prodding the Securities and Exchange Commission to revamp and curtail its use of its new two-year examination schedule called...
