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Advisor Use of Social Media Testimonials Sometimes OK
ThinkAdvisor
April 1, 2014
 
Use Care in Hyping Bull Market Returns
Reuters
February 13, 2014
 
Stay Compliant with Rep U4 Updates
IA Watch
January 27, 2014
 
Ways Advisers Can Prep for Their First SEC Exam
Reuters
January 16, 2014
 
SEC Puts Fiduciary Duty as 2014 Long-Term Action
Investment News
December 2, 2013
 
5 Big Regulatory Changes Coming in 2014
ThinkAdvisor
December 2, 2013
 
Regulation: 5 Things to Watch in 2014
LifeHealthPro
November 20, 2013
 
SEC's White Vague on Definition of "Small Infraction"
Investment News
October 18, 2013
 
Consumer Reviews of Financial Advisors
ThinkAdvisor
August 7, 2013
 
Confusion Around the SEC's Custody Rule
IA Watch
June 24, 2013
 
Red Flags Identity Theft Rule Affects You
IA Watch
June 3, 2013
 
"Like" It or Not the Regulators Create Social Media Challenges
NSCP Currents
March/April 2013
 
Criminal Background Checks for MA Advisors
AdvisorOne
March 26, 2013
 
7 Tips for Compliant Marketing
AdvisorOne
March 20, 2013
 
Undertake Analysis in Seeking Best Execution
IA Watch
February 4, 2013
 
Can RIAs Use Mandatory Arbitration Clauses?
IA Watch
October 29, 2012
 
Privacy Laws Threaten Compliance
Investment News
September 23, 2012
 
Compliance Policies and Procedures
IA Watch
August 6, 2012
 
How to Respond to Form ADV Soft Dollars Question
IA Watch
March 26, 2012
 
FINRA to Restructure BrokerCheck
AdvisorOne
March 2, 2012
 
Mid-Sized Advisers Slide to State Registration
IA Watch
February 6, 2012
 
Act Now on Compliance
AdvisorOne
December 21, 2011
 
How-To-Guide for Making The Switch
IA Watch
December 12, 2011
 
Best Practices as SEC Whistleblower Rule Takes Effect
IA Watch
August 8, 2011
 
Confusion About New FINRA Back-Office Staff Exams
AdvisorOne
July 15, 2011
 
How RIA Business Should be Recorded on U4
BD Week
June 13, 2011
 
You Decide What's Material in Disciplinary Cases
IA Watch
June 6, 2011
 
The ERISA Fiduciary Duty Rule
Thomson Reuters Accelus
May 6, 2011
 
Compliance: Why One Advisor Outsources
RIA Central
April 18, 2011
 
Mailing Mix-Up Can Be a Material Mess ADV 2A and 2B
Complinet
March 4, 2011
 
Marketing Reviews Must Keep Pace With Technology
IA Watch
February 28, 2011
 
The Challenge of New [ADV] Brochure Supplements
IA Watch
February 21, 2011
 
Does Your Money Need a Mission Statement?
Reuters
February 16, 2011
 
Business Disaster or Business Continuity?
RIA Central
February 8, 2011
 
Report Recommendations May Upend Wirehouse Model
Investment News
January 30, 2011
 
Drafting Tips for Your Supervisory Procedures
RIA Central
January 11, 2011
 
Does Your Agreement Agree With You?
RIA Central
December 13, 2010

Drastic Difference – ADV II to 2
RIA Central
November 9, 2010

ADV-Like Form Sought by FINRA
Investment News
November 7, 2010

Plain English Made Simple (Frontline News)
Financial Advisor Magazine
October 2010

New Account and IPS Compliance
RIA Central
October 4, 2010

Compliance Policies and Procedures
IA Watch
August 23, 2010

You Think You Know What “Plain English” Is
IA Watch
August 9, 2010

Going Independent – Avoiding Regulatory Bumps
Transitions Magazine
August 3, 2010

Non-Compliance with Social Media Policies
BD Week
June 28, 2010

Regulator Slips Up When It Comes to Data Security
IA Week
June 25, 2010

Advisers and Compliance Officers Struggle to Find Common Ground
Journal of Financial Planning
June 2010

New and Revised Answers Added to SEC’s Custody Rule FAQs
IA Week
May 31, 2010

Being Clear When Disclosing Fees
IA Watch
April 19, 2010

Ready or Not, Revised Custody Rule Takes Effect
IA Watch
March 15, 2010

Social Networking Tools: Compliance Challenges
Complinet
March 2, 2010

Avoiding Arbitration
Practice Solutions Magazine (FPA)
March/April 2010

Dealing With Problem Reps
BD Week
February 22, 2010

Experts Offer Ways to Make Your Form ADV Update Go Smoother
IA Watch
February 8, 2010

A Killer Annual Review
IA Week
January 25, 2010

Custody Rule May Catch Some Advisers by Surprise
IA Watch
January 11, 2010

Regulatory Reform - Are We There Yet?
Horsesmouth
December 22, 2009
 
Conquering Your Compliance Burden
Horsesmouth
December 16, 2009
 
Compliance Department Offered Warning That Was Ignored
BD Week
December 14, 2009

FINRA Proposes Qualification Test For New CCOs
BD Week
December 14, 2009

Deadline Looms For Answering Form U4 Questions on ‘Willful’ Violations
BD Week
November 9, 2009

LaunchAdvisor Radio
Horsesmouth
November 3, 2009

Compliance: Year-End Review
Financial Planning Magazine
November 2009

How to Cover Your Compliance Bases
Complinet
October 13, 2009

Compliance: What It Takes
Financial Planning Magazine
October 2009

The Elusive Fiduciary Duty Definition
Complinet
September 3, 2009

Compliance Watch: Red Flags Rule Will Be a Finra Priority
Dow Jones Newswire
July 7, 2009

What You Should Do To Get Ready To Comply With the Revised U5 and U5 Forms
IA Week
June 22, 2009

Live Webcast
Investment News
June 1, 2009

Inside Trading Prohibitions at the SEC
Complinet
June 1, 2009

Greater Resources & Expanding Role for State Regulators: NASAA & Lininger Weigh In
Complinet
April 8, 2009

Q&A: Should All Advisers Be Held To A Fiduciary Standard?
Complinet
March 10, 2009

Q&A: Should I Disclose My Personal Holdings To A Client Or Prospect?
Complinet
March 4, 2009

60 Seconds with Nancy Lininger
Registered Rep Magazine
March 2009

Ready For a Rebound
Research Magazine
February 2009

Mistakes to Avoid When Clients Claim You’re Responsible for Falling Portfolios
IA Week
January 26, 2009

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Nancy Lininger
 
 

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