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By David Tittsworth, IAA |
May 14, 2012
Some of the answers: FINRA is the only viable option that has been identified as an SRO and, as Mercer Bullard commented, "the bill would impose a tax on small advisory businesses...and mainstream investors they represent."
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By Bob Clark, AdvisorOne |
April 24, 2012
You know a trend is well on the way to becoming business as usual when “independent” broker-dealers start jumping on the bandwagon.
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By James Carney, ByAllAccounts |
March 11, 2012
How to assess tools for electronically monitoring your firm's employees' personal trading activities, while also improving operational efficiency.
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By Marlene Y. Satter, AdvisorOne |
January 20, 2012
Ipreo launches new compliance certificate to meet revised suitability standard, establishing a BD's ability to exercise independent judgment.
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By Marlene Y. Satter, AdvisorOne |
January 5, 2012
FINRA has at least partially bowed to comments from member firms and decided not to require social media postings to be regarded as subject to a post-use filing requirement.
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By Bob Clark, AdvisorOne |
December 20, 2011
Why blaming consumers—and your clients—for their lack of financial literacy is a red herring. Oh, and a suggestion to the SEC on what its primary job should be...
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By Marlene Y. Satter, AdvisorOne |
December 15, 2011
FINRA announced Thursday that it has fined Wells Fargo Investments $2 million over sales of unsuitable reverse convertibles to the elderly and a failure to provide breakpoints on unit investment trust sales.
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By James J. Green, AdvisorOne |
November 22, 2011
FINRA fines Wells Investment Securities $300,000 over non-traded timberland REIT advertising and sales materials which contained 'misleading, unwarranted and exaggerated statements.'
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By Melanie Waddell, AdvisorOne |
November 18, 2011
FINRA is warning BDs to ensure that their supervisory procedures regarding use of certifications and designations in advising senior investors are in order, as protecting vulnerable customers continues to be a high regulatory priority for FINRA.
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By Martin F. Kurtz, FPA, Marvin W. Tuttle, Jr., FPA |
November 8, 2011
FPA’s leadership responds to its critics on its history, goals, membership numbers and relationship with the BD community.
