E-mail Compliance: Separating Rumor from Reality
- SEC Wants Private Investment Advisers to Register. Gaetano, Chris // Trusted Professional;1/1/2011, Vol. 14 Issue 1, p6
The article offers information on the proposed investment advisers rule of the Securities and Exchange Commission (SEC), that urges investment advisers to register with SEC, in New York.
- ANALYST CONFLICTS OF INTERESTS: ARE THE NASD AND NYSE RULES ENOUGH? Contoudis, Karen // Fordham Journal of Corporate & Financial Law;2003, Vol. 8 Issue 1, p123
Responds to the proposed rules of the Self Regulatory Organizations to the U.S. Securities and Exchange Commission. Traditional role of the securities analyst; Conflicts of interest faced by securities analyst; Rules of the National Association of Securities Dealers and the New York Stock Exchange.
- MSRB Eyes Dealer-FA Role-Switch Ban. Ackerman, Andrew // Bond Buyer;10/26/2010, Vol. 374 Issue 33405, p1
The article reports on the plan of the Municipal Securities Rulemaking Board (MSRB) to file rule changes with the Securities and Exchange Commission (SEC) that bans the practice of allowing a dealer-financial adviser (FA) to resign but continues to underwrite the same municipal securities...
- Planners Nervous About Standard of Care. Postal, Arthur D. // National Underwriter / Life & Health Financial Services;1/24/2011, Vol. 115 Issue 2, p12
The article reports on the anxiety of financial planners concerning the possible proposal by the Securities and Exchange Commission (SEC) on the application of fiduciary standard for sellers of retail investment products in the U.S.
- Your Interests At Heart. Gunn, Erik // Cleaner;Dec2010, p60
The article discusses the fee being charged by financial planners for their service. It relates that there are planners who work on commission for the stocks or other securities they sell while others have no commissions and instead charge a fee. In picking planners, businesses are advised to...
- Walter: SEC Won't Take Long. HEMMERDINGER, JONATHAN // Bond Buyer;10/2/2012, Vol. 382 Issue 33790, p1
The article presents information on the policies of the U.S. Securities and Exchange Commission for deciding the rules and regulations for municipal advisors. Commissioner of Securities and Exchange Commission Elisse Walter states that the policies for municipal advisor will be completed till...
- Where's Your Money? Why the SEC wants to know. Bresiger, Gregory // Financial Planning;Oct99, Vol. 29 Issue 10, p112
Focuses on the legal strategies of the United States Securities and Exchange Commission (SEC) on the financial advisers that put client money in a risky investment. Remarks of several advisers on the move of SEC; Scenario that already attracted the attention of the regulators; Cases of...
- You've Got Mail. Miller, Andrew // Financial Planning;Mar2005, Vol. 35 Issue 3, p79
Deals with issues concerning the compliance regulation issued by the U.S. Securities and Exchange Commission (SEC) in February 2005. Need for financial advisers to appoint a chief compliance officer and to adopt written policies and procedures to prevent violations of federal securities laws;...
- Playing By New Rules. Koreto, Richard J. // Financial Planning;Feb2002, Vol. 32 Issue 2, p84
Discusses the implications of two rules issued by the U.S. Securities and Exchange Commission to improve public disclosure of information and routing practices for financial planners. Requirements for broker-dealers under the rules; Assumptions of the SEC on investment advisers; Ways for...