November 2001
Journal of Financial Planning;Nov2001, Vol. 14 Issue 11, p18
Academic Journal
The article presents information related to financial institutions in the U.S. The North American Securities Administrators Association (NASAA) issued a statement, pledging to help securities firms in the aftermath of terrorist attacks on the World Trade Center buildings and the Pentagon. The NASAA board of directors will soon be meeting via conference call and will discuss ways to help the securities industry get back to normal. Investment advisers registered with a state securities administrator who transition onto the IARD before December 12, 2001, will not be charged a renewal fee for the year 2002 by the IARD. The initial IARD fee is $150, but the ongoing annual fee of $100 will be waived. The NASAA has posted an investment adviser guide on its Web site. The guide contains information on the National Securities Markets Improvement Act, record keeping and disclosure requirements for advisers and what to expect from an audit. The guide also discusses the fiduciary responsibility of an investment adviser.


Related Articles

  • Hastily Formed Networks: Collaboration in the Absence of Authority. Denning, Peter J. // Reflections;2006, Vol. 7 Issue 1, p1 

    The article talks about the networks that were hastily formed in the absence of authority. Disasters such as the September 11, 2001 World Trade Center tragedy, Hurricane Katrina, and the earthquake in Pakistan, brought about people to provide relief. The quality of the response depended on the...

  • The September Syndrome. Ritchlin, Lance // Journal of Financial Planning;Apr2009, Vol. 22 Issue 4, p8 

    An introduction to the journal is presented in which the editor discusses the terrorist attacks of September 11, 2001, the unfolding of a financial crisis in September of 2008, and changes in the journal's staffing.

  • A Snapshot of How Organizations Responded To Tragedy. Murphy, Mike // Public Relations Tactics;Sep2002, Vol. 9 Issue 9, p30 

    Focuses on how organizations respond to tragedy. Response of organizations to the September 11, 2001 attack on the United States; Results of crisis campaigns; Utilization of the Customer Assistance Relief Effort of the American Airlines.

  • Dear Parents: The following tips can be used as a guide as your family copes with the national tragedy of September 11, 2001. These tips were written by Dr. Bruce Perry, a nationally recognized expert on children and trauma and provided by Scholast...  // Scholastic News -- Edition 4 (Teacher's Edition);10/8/2001, Vol. 64 Issue 6, p4 

    Presents tips on how families can cope with the aftermath of the terrorist attacks in the United States on September 11, 2001.

  • WORKING THROUGH PAIN AND SORROWS AFTER WTC TRAGEDY. Forman, Michael; Miskin, Donna // Securities Industry News;9/9/2002, Vol. 14 Issue 35, p3 

    Assesses the national and international ramifications of the September 11 terrorist attack in New York City. Impact of the World Trade Center attack on financial institutions; Memories of chief executives on the World Trade Center building; Effect of the attack on the sense of security of...

  • Bridging the financing gap remains difficult. Kokish, Bryan // Hotel & Motel Management;3/18/2002, Vol. 217 Issue 5, p24 

    Reports the impact of the September 11, 2001 terrorist attacks on the lending market in the U.S. Effect of the attack on hotel operators; Area in the market affected the most by the attacks; Measures taken by the market to cope with the ill-effects of the attacks.

  • What has changed? Williamson, Christine; Clair, Chris // Pensions & Investments;9/2/2002, Vol. 30 Issue 18, p1 

    Focuses on the impact of the September 11 terrorist attacks on the financial management sector in the U.S. Stability of the market; Increase in job pressure; Initiatives of corporate organizations to achieve efficiency in operation.

  • Two Paths. Cooper, Evan // On Wall Street;Nov2001, Vol. 11 Issue 11, p8 

    Discusses how the September 11, 2001 terrorist attacks affected financial institutions. Reaction of stock brokers and their clients on the terrorist attacks; Concerns on the prices imposed by telecommunication companies; Forecast on the long-term effect of the tragedy.

  • Financial World Reels From Terrorist Attacks. Levine, Bernard; Murphy, Tom // Electronic News;9/17/2001, Vol. 47 Issue 38, p2 

    Assesses the impact of the terrorist attacks in the United States in September 2001 on investment and financial institutions. Companies physically affected by the attacks; Readiness of the Federal Reserve Board to provide liquidity; Implications of air travel restrictions for the industry.


Read the Article


Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics