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- New legislation means some relief for investment advisers. Vazzana, John // CPA Journal;June97, Vol. 67 Issue 6, p65
Deals with Title III of the Securities Reform Bill, `Investment Advisers Supervision Coordination Act' (IASCA) which provides regulatory relief for investment advisers. Exemption from Federal regulation under the act; Purpose for some changes made to the Employment Retirement Income Security...
- Final regulation take effect on Investment Adviser supervision. Friedman, Amy S. // National Underwriter / Life & Health Financial Services;7/14/1997, Vol. 101 Issue 28, p3
Reports that the final regulation for the Investment Advisers Supervision Coordination Act went into effect July 8, 1997. Details on the Act; What the regulation provides; Selection of states in which Advisers do not register advisers.
- Ohio advisers face scrutiny. // Pensions & Investments;3/9/1998, Vol. 26 Issue 5, p59
Reports that under a proposed law establishing state oversight of investment advisers' burgeoning field, investment advisers in Ohio could face the possibility of more frequent audits and punitive actions. Reference to the bill in the Financial Institutions Committee of the Ohio House; What the...
- New Inv. adviser legislation brings regulatory changes. Friedman, Amy S. // National Underwriter / Life & Health Financial Services;10/28/96, Vol. 100 Issue 44, p15
Announces that a coalition that worked with the United States Congress in respect to the Investments Advisers Supervision Coordination Act of October 11, 1996 was due to meet with the United States Securities and Exchange Commission in late October, 1996 to present suggestions to clarify...
- Acts approved by the President. // Weekly Compilation of Presidential Documents;4/7/97, Vol. 33 Issue 14, p467
Presents US President Bill Clinton's S. 410/Public Law 105-8, approved on March 31, 1997, which aims to extend the effective date of the Investment Advisers Supervision Coordination Act.
- Are You an E or an O? Elson, Rachel F. // Financial Planning;Mar2015, Vol. 45 Issue 3, p10
An introduction is presented in which the editor discusses various reports within the issue on topics including the Investment Advisers Act of 1940, the regulatory differences between brokers and registered investment advisers (RIAs), and the cost of examining RIAs.
- Investment Advisory Services Under ERISA. Geller, Sheldon M. // CPA Journal;Sep2000, Vol. 70 Issue 9, p43
Explores responsibilities and risks associated with the regulation of the Employee Retirement Income Security Act (ERISA) of 1974 in the United States for certified public accountants acting as investment advisors. Growth in investment advisory programs; Investment advisory services under...
- A Maze of Regulations. Douglas, Benjamin L. // Outlook;Spring99, Vol. 67 Issue 1, p18
Provides information on rules and regulations on accountancy in California. Some of the laws affecting investment advisers; Registration of a certified public accountant with the Securities and Exchange Commission in the United States; Classification in dealing with broker-dealers.
- Financial adviser amendment may head toward the... Friedman, Amy S. // National Underwriter / Life & Health Financial Services;3/18/96, Vol. 100 Issue 12, p23
Focuses on the plans by three financial adviser associations to seek help from the Senate, to try to amend the Investment Advisers Act of 1940. Views by officials; Names of associations.