securities law

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  Former Morgan Keegan Fund Directors Settle With SEC

  By Melanie Waddell, AdvisorOne  |  March 29, 2013

  The Regions Morgan Keegan Funds were charged by the SEC with overstating the value of their securities as the housing market was collapsing in 2007.

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  SEC Mulls Rule Proposal on Corporate Political Spending

  By Melanie Waddell, AdvisorOne  |  January 18, 2013

  The date, however, when such a proposal would be released remains unclear.

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  Vow to Fight SEC Charges From Ex-Morgan Keegan Fund Directors

  By Melanie Waddell, AdvisorOne  |  December 12, 2012

  Eight former independent directors, who were charged by the SEC with overstating the value of their securities as the housing market was collapsing in 2007, say they will “vigorously” contest the charges.

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  CFP Board Names Aikin, 2 Others to Board of Directors

  By Melanie Waddell, AdvisorOne  |  November 15, 2012

  The CFP Board announced Thursday that it had elected three new directors to the Board of Directors at its Fall 2012 meeting: Blaine F. Aikin, Arthur Laby and Thomas Nelson.

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  Registration Requirements for Investment Advisor Representatives (IARs)

  By Les Abromovitz  |  January 1, 2012

  When individuals launch an advisory firm, they must avoid marketing themselves or the firm as investment advisors before they are properly approved and registered.  Otherwise, they are subject to severe penalties.  

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  4 Key Areas SEC Examiners Will Scrutinize in 2012: Giachetti

  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.