TITLE

PRACTICE TRENDS: Get a Handle on Compliance Needs and Available Resources

AUTHOR(S)
Nelson, Christina
PUB. DATE
March 2011
SOURCE
Journal of Financial Planning;Mar2011 Research Spotlight Suppleme, p6
SOURCE TYPE
Academic Journal
DOC. TYPE
Article
ABSTRACT
The article reports on the changes in compliance in the U.S. It mentions that the changes are meant to balance between consumer protection and free markets which have been affected by credit disintegration, economic uncertainty and market swings. It notes that regulatory environment for financial advisers have changed in 2011 which are based on the studies and rulemaking by the Securities and Exchange Commission (SEC). It mentions that changes in compliance may be difficult but through the understanding of available resources, it would be much easier.
ACCESSION #
59539441

 

Related Articles

  • Fiduciary Standard Raises Questions. A. H. // Corporate Meetings & Incentives;May2011, Vol. 30 Issue 5, p28 

    The article reports on the controversy of the Securities and Exchange Commission's (SEC) report, part of the Dodd-Frank Wall Street Reform and Consumer Protection Act, that requires everyone who provides personalized financial advice to consumers be held to the same fiduciary standard in the U.S.

  • Financial Reform: I Wonder... Moisand, Dan // Journal of Financial Planning;Jan2011, Vol. 24 Issue 1, p32 

    The article presents the author's views as a financial planner about the impact of the financial reform passed by the U.S. Congress on issues in the financial planning industry. He notes that the financial reform package is mandating the Department of Securities and Exchange Commission (SEC) to...

  • Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Twelve Funds of the Direxion Shares ETF Trust II Under NYSE Arca Equities Rule 8.200. O'Neill, Kevin M. // Federal Register;9/24/2012, Vol. 77 Issue 185, p58881 

    The article informs that NYSE Arca Inc. has filed a notice with the Securities and Exchange Commission (SEC) regarding proposed rule change related to Twelve Funds of the Direxion Shares ETF Trust II under NYSE Arca Equities Rule 8.200. According to the company, proposed rule change has been...

  • Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the PowerShares S&P 500 Downside Hedged Portfolio Under NYSE Arca Equities Rule 8.600. O'Neill, Kevin M. // Federal Register;9/24/2012, Vol. 77 Issue 185, p58889 

    The article informs that NYSE Arca Inc. has filed a notice with the Securities and Exchange Commission (SEC) regarding a proposed rule change related to the Trade Shares of the PowerShares S&P 500 Downside Hedged Portfolio under NYSE Arca Equities Rule 8.600. As per the company, this change has...

  • Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Complex Order Auctions. O'Neill, Kevin M. // Federal Register (National Archives & Records Service, Office of;9/17/2012, Vol. 77 Issue 180, p57172 

    The article informs that Chicago Board Options Exchange Inc. has filed a notice with the U.S. Securities and Exchange Commission on its proposed rule change related to complex order auctions. According to the company, the proposed rule change will help to protect public interest by eliminating...

  • Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Complex Order Auctions. O'Neill, Kevin M. // Federal Register (National Archives & Records Service, Office of;9/17/2012, Vol. 77 Issue 180, p57173 

    The article informs that C2 Options Exchange Inc. has filed a notice with the U.S. Securities and Exchange Commission on its proposed rule change related to complex order auctions. According to the company, the proposed rule change will help to protect public interest by eliminating unnecessary...

  • FPA v. SEC: What's Next? Thompson, Duane // Journal of Financial Planning;Jul2007Supplement, Vol. 20, p24 

    The article discusses conflict between the Financial Planning Association and the United States Security and Exchange Commission. The conflict is due to challenges the association has made against Rule 202, which exempted fee-based brokerage programs from the Investment Advisers Act of 1940. The...

  • FINANCIAL PLANNING.  // Practical Accountant;Aug2006, Vol. 39 Issue 8, p18 

    The article reports developments related to financial planning in the U.S. Planners who hold the certified financial planner record have a high level of career satisfaction. The Financial Planning Association has launched the FPA Career Center, a tool designed to help both those in the market...

  • 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;...

Share

Read the Article

Courtesy of VIRGINIA BEACH PUBLIC LIBRARY AND SYSTEM

Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics