Understanding Risk Tolerance to Remain Compliant
- Why plan sponsors should watch those BrokerCheck TV commercials. Lawton, Robert C. // Ebn.benefitsnews.com;7/9/2015, p1
Have you seen those new BrokerCheck commercials on TV? With the help of these commercials, FINRA, the Financial Industry Regulatory Authority, would like to motivate anyone looking to hire a financial adviser to visit its BrokerCheck website first to vet candidates.
- The Empire Steps Up. Clark, Bob // Investment Advisor;Oct2010, Vol. 30 Issue 10, p91
The article presents the author's insight on the Financial Planning Coalition's Comment Letter on the U.S. Securities and Exchange Commission's (SEC) study. It states that that the letter to the SEC suggests the abolition of broker exemption to the 1940 Act. It also presents the ineffectiveness...
- Dream Stealers. // Journal of Financial Planning;Nov2001, Vol. 14 Issue 11, p10
The editorial focuses on the role of compliance in the lives of financial planners. From the planner's perspective, meeting compliance requirements, whether it's the U.S. Securities & Exchange Commission, the National Association of Securities Dealers, the states or broker/dealers, is a daily...
- New Template Offers Help for Drafting ADV Disclosure Documents. // Journal of Financial Planning;Sep2006 Supplement, p27
The article reports that the Financial Planning Association will launch the FPA ADV Part II-Template, a tool designed to assist planners and advisers to meet the mandatory requirements of the Securities and Exchange Commission, in late 2006. The teamplate is similar to the Financial Planning...
- SEC's RAND Study: Trojan Horse for the Brokerage Industry? Thompson, Duane // Journal of Financial Planning;Mar2007, Vol. 20 Issue 3, p30
The article discusses a study by the United States Securities and Exchange Commission and RAND Center for Corporate Ethics, Law and Governance concerning confusion between broker and adviser regulation. The study was commissioned after the Securities and Exchange Commission's Rule 202 spurred...
- The Survival Guide to Regulatory Examinations. SAKHLEH, JOHN // Financial Fraud Law Report;Apr2014, Vol. 6 Issue 4, p309
This article is intended to serve as a guide to handling regulatory examinations for registered investment advisers or broker-dealers.
- KEEPING IT UNDER CONTROL. French, Kristen // Registered Rep;Sep2011, Vol. 35 Issue 9, p32
The article focuses on the desire and motivation of financial advisors to take control and discretion over the clients investment portfolios. The famous representative-driven investing programs which were registered by both the Securities and Exchange Commission (SEC) and Financial Industry...
- CONCLUSION: NEWS & PRODUCTS. // Investment Advisor;Mar2010, Vol. 30 Issue 3, p87
The article offers news briefs related to financial planning in the U.S. Securities and Exchange Commission (SEC) Chairman Mary Schapiro has urged chief compliance officers to collaborate with broker/dealer in determining the nature and fraudulent schemes. The Financial Industry Regulatory...
- Hedge Fund Advisors Now Must File With FINRA. Kentouris, Chris // Financial Planning;Nov2011, Vol. 41 Issue 11, p30
The article reports that the U.S. Securities and Exchange Commission (SEC) has designated the Financial Industry Regulatory Authority (FINRA) to develop and maintain the registration system for hedge fund advisors.