When disaster strikes
- I Survived an SEC Audit. Darchuck, Dan // Financial-planning.com;3/2/2015, p3
A personal narrative is presented which explores the author's experience of being audited for several months by the U.S. Securities and Exchange Commission (SEC) as a registered investment advisor (RIA).
- News Flash: Dodd-Frank Act Delays Continue. Mont, Joe // Compliance Week;Apr2013, Vol. 10 Issue 111, p14
The article focuses on the provisions and reform policies of the U.S. Dodd-Frank Act of 2010 which are creating problems for the U.S. business enterprises to plan compliance policies because of the delays in implementing the regulations. Other topics include the Volcker Rule related to...
- Heading for the Exits. Paikert, Charles // Financial Planning;May2014, Vol. 44 Issue 5, p49
The article discusses the opportunities offered to financial advisors of the expected move by around three million businesses in the U.S. to sell their operations in the next five years. According to Exit Planning Institute's Christopher Snider, financial planners and advisors can provide...
- Bush's Proposed $100M for SEC Called Chump Change by Lawmakers. Hume, Lynn // Bond Buyer;7/10/2002, Vol. 341 Issue 31424, p7
Reports on the budget request by U.S. President George W. Bush from the Securities and Exchange Commission (SEC) for the fiscal year 2003. Concerns of the Democrats over the request; Response of SEC Chairman Harvey Pitt on the issue; Appropriations for the budget.
- Budget seeks $45.8M more for regulators. Hume, Lynn // Bond Buyer;02/08/2000, Vol. 331 Issue 30824, p4
Reports on the fiscal 2001 budget proposed by United States President Bill Clinton for the US Securities and Exchange Commission. Increase in budget allocation for the agency; Proposed increase as needed for the agency's expansion of its capabilities to fight electronic securities fraud.
- Companies Think About the Unthinkable. // Corporate Legal Times;Dec2001, Vol. 11 Issue 121, pBWB18
Focuses on the need for corporate disaster planning in the United States. Importance of developing a crisis management program in preparation for disruptions to company operation; Role of general counsel and legal function in disaster planning; Necessity of an effective disaster recovery plan.
- Broker-Dealer Dilemmas. Jovin, Ellen // Financial Planning;Jul2000, Vol. 30 Issue 7, p87
Examines the relationship between an investment adviser and a financial broker-dealer. Contrast between what an investment adviser wants and what the broker-dealer can deliver; Types of associations between advisers and broker-dealers; Interpretation of the rules of the National Association of...
- Did You Inhale? Longo, Tracey // Financial Planning;Jan1999, Vol. 29 Issue 1, p141
Focuses on the Central Registration Depository (CRD) online information service program of the National Association of Securities Dealers Inc. Benefits registered investment advisers could gain from the online information service; Features of the online information service; Details on the CRD.
- New Series 65 & 66 exams soon. // Practical Accountant;Aug99, Vol. 32 Issue 8, p20
Reports on the Series 65 and 66 examinations that state securities regulators require of those wanting to become investment advisors beginning January 1, 2000. Coverage of tests; Administration of the exams by the regulatory arm of the National Association of Securities Dealers.