Electronic Document Storage: Separating Compliance Reality from Rumors
- 10 years ago in the Profession. // Journal of Financial Planning;Jul2001, Vol. 14 Issue 7, p23
Looks at the reintroduction of the Boucher bill in the United States Congress in July 1991 which required financial planning services providers to register as investment advisers. Failure of the bill to gain enough support; Ruling of the Securities and Exchange Commission and the National...
- Legislation Passed by House Would Require Most Private Fund Advisers to Register with SEC. // Venulex Legal Summaries;2010 Q1, Special section p1
The article highlights the legislation approved by the U.S. House of Representatives that stipulates changes to the Investment Advisers Act of 1940 that would demand private fund advisers to register with the U.S. Securities and Exchange Commission. Potential implications and issues related to...
- New Advisor Custody Rules. // Practical Accountant;Nov2003, Vol. 36 Issue 11, p24
Reports that the U.S. Securities and Energy Commission has voted to adopt amendments to its rules under Investment Advisers Act of 1940 dealing with custody of client assets. Provisions under the amendment act; Exemptions for advisors to investment partnerships; Effective date of amendments.
- New SEC regulations for investment advisers. // Practical Accountant;Jul97, Vol. 30 Issue 7, p8
Presents information on the Securities and Exchange Commission's (SEC) adoption of the regulations which bring into effect the provisions of the Investment Advisors Supervision Coordination Act effective as of July 8, 1997. Implications of the Act; Details of the regulations; Location and...
- SEC Proposal Loosens Registration Rule on Asset-Based Fees. Hume, Lynn // Bond Buyer;11/08/99, Vol. 330 Issue 30764, p4
Reports on the rule proposed by the U.S. Securities and Exchange Commission (SEC) that would allow broker-dealers to charge customers asset-based fees without registration as an investment advisers. Purpose of the rule made by the SEC; Provisions of the rule.
- New Federal Security Law: Significant Effects on Investment Advisers and Financial Planners. Bedsworth, James H. // Ohio CPA Journal;Jul-Sep98, Vol. 57 Issue 3, p42
Examines the effect of the Investment Advisers Supervision Coordination Act on investment advisers. Reference made to the National Securities Markets Improvement Act (NSMIA); Details on the adoption of draft rules by the Securities and Exchange Commission (SEC) which relate to the...
- IAFP referral program gets SEC no-action letter. // Financial Planning;Jul98, Vol. 28 Issue 7, p27
Reports that the United States Securities and Exchange Commission has issued a no-action letter to the International Association of Financial Planning (IAFP) with regard to its referral program. Details on the solicitation rule of the Investment Advisors Act of 1940; How advisers can...
- Implementation of Inv. Adviser Act moved to July. Friedman, Amy S. // National Underwriter / Life & Health Financial Services;3/24/97, Vol. 101 Issue 12, p42
Reports on legislation passed by the United States Congress, which would delay the implementation date of the Investment Advisers Supervision Coordination Act. When the Act was originally supposed to take effect; Why the delay was requested by the Securities and Exchange Commission.
- Adviser Contributions Capped. // Credit Union Times;7/14/2010, Vol. 21 Issue 27, p45
The article reports on the rules that restrict investment advisers to offer advisory services for compensation to elected officials by the U.S. Securities and Exchange Commission (SEC).