The Paperless Investment Adviser
- Bechtel Puts SEC Index On NewsNet. // Information Today;Nov1986, Vol. 3 Issue 10, p2
This article reports on the move of Bechtel Information Services to go online with an index of all financial documents filed currently with the U.S. Securities and Exchange Commission (SEC) in November 1986. The SEC Filings Index is being offered through NewsNet and can be searched by company...
- THE GREAT DIVIDE: STATE VERSUS FEDERAL SECURITIES REGULATORY ENFORCEMENT ACTIONS. Kelvin, Jeffrey B. // Journal of Financial Service Professionals;Mar2004, Vol. 58 Issue 2, p39
The article compares the state and federal securities regulatory enforcement actions in the U.S. All of the attention being paid to recent regulatory activities and successes in the securities area has generally led to subtle suggestions that the state securities regulators have become more...
- Rules of the Trade. Garland, Eric // Financial Planning;Sep2004, Vol. 34 Issue 9, p16
Discusses important business practices for financial advisers in the U.S. Lawsuit filed by the Financial Planning Association against the U.S. Securities and Exchange Commission for the delayed exemption of brokers to the 1940 Investment Advisers Act; Expectations of clients from financial...
- Chronology: Evolution/Devolution of the Broker/Dealer Rule. // Journal of Financial Planning;May2007, Vol. 20 Issue 5, p33
The article presents a timeline of the broker/dealer rule, which exempts brokerage firms that give advice in connection with stock sales from the Investment Advisers Act of 1940. In 1999 the United States Securities and Exchange Commission began meeting with major brokers to institute fee-based...
- Investors get real-time access to company information. Wollenberg, Yvonne Chilik // Medical Economics;7/26/2002, Vol. 79 Issue 14, p8
Reports on the improvement in the online database of the U.S. Securities and Exchange Commission to allow investors for fast access to their corporate reports. Features of the improved database.
- Financial Planning Regulated? Williams, Rebecca C. // Advisor Today;Dec2000, Vol. 95 Issue 12, p50
Presents information on several definitions of financial planners as well as the regulations governing their activities in the United States (U.S.). Guidelines that help determine where an investment advisor must register; Types of people or entities excluded from regulation; Individuals that...
- Solely Incidental Financial Planning. Thompson, Duane // Journal of Financial Planning;Mar2006, Vol. 19 Issue 3, p36
The article reports that the U.S. Securities and Exchange Commission (SEC) adopted rules in April, 2005, which affect how brokers provide financial planning services. The SEC rule is criticized by the author, who finds that it is unclear as to what types of financial advice brokerage firms can...
- SIFMA to SEC : No Exemptions for Non-Dealer MAs. Glazier, Kyle // Bond Buyer;3/23/2015, Vol. 1, p1
Non-dealer municipal advisors should not be allowed to act as placement agents for an issuance of bonds, the Securities Industry and Financial Markets Association told Securities and Exchange Commission chair Mary Jo White in a recent letter.
- Dealers, Bankers: Change G-42 Principal Transaction Ban. Glazier, Kyle // Bondbuyer.com;6/1/2015, p1
Dealer groups and banks remain highly concerned that the Municipal Securities Rulemaking Board's proposed core municipal advisor rule could limit the services they offer, while non-dealer advisors told the Securities and Exchange Commission that the proposal needs more clarification in several ways.