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Press Room (continued)

Regulation: The Burden and the Backlash
On Wall Street
February 1, 2008
SIFMA suggests self-regulator for adviser-only firms
Investment News
January 14, 2008
B-D exemption rule dead, but the debate rages on; NASAA panel topic: Do brokers or advisers face most regulation?
Investment News
October 8, 2007
Ready For Launch: The pre-flight checklist for launching your own financial planning practice is complicated - and may not be for everyone
Accounting Today
July 9, 2007
New service agreement at TD Ameritrade causes flap; Advisers stirred up because contracts arrived during tax time
Investment News
May 7, 2007
The Art of Compliance
Financial Planning
May 1, 2007
NASD wants to supplant OSJ category; Concerns raised over proposed change in €branch€ definition
Investment News
March 12, 2007
Spitzer Sues UBS Over Fee-Based Accounts: Move could spur compliance chiefs to institute better ways to check for suitability
On Wall Street
February 1, 2007
Many rules, few compliance officers: Salaries rise as brokerages seek pros; accountability shifts to staff
Crain€s New York Business
September 25, 2006
Broker-dealers hurting for pros in compliance; Seek more money for putting their 'necks on the line'
Investment News
September 8, 2006
Dramatic growth spurt in adviser registration; Broker-dealer exemption rule seen as factor
Investment News
August 7, 2006
SEC said to crack down harder; Actions and fines on 'technical' issues, seen to be on the rise
Investment News
June 12, 2006
No Relief Seen for Broker-Dealers
America€s Intelligence Wire
March 15, 2006
'Merrill' rule sparks software restrictions on reps; Some firms told brokers not to use outside planning tools
Investment News
February 13, 2006
No Relief Seen for Broker-Dealers
On Wall Street
February 1, 2006
Brokers decry cost, confusion of Merrill rule; Tension rising as the deadline approaches
Investment News
November 7, 2005
Business Continuity Plan: Software Review
NAPFA Advisor
December 2004/January 2005
The Great Compliance Witch Hunt!
July 1, 2004
Continuity plan is an imperative for advisers in case of disaster; Reviewing such plans part of SEC's audits
Investment News
May 17, 2004
Inactive' Fee-Based Brokerage Accounts Come Under Scrutiny
On Wall Street
March 1, 2004
Compliance fatigue: brokerage firms and advisors are groaning under an increased regulatory burden. Will regulators hear their cry?
HighBeam Research
March 1, 2004
New Pandora's box? Touted fiduciary mode could increase liability
Investment News
November 10, 2003
Patriot Act a Beastly Burden for Small B/Ds
November 1, 2003
Questions of compliance. (Q&A)
Investment News
June 1, 2003
SEC tripwires
Financial Planning
May 13, 2003
SEC Tripwires: This year, there are even more ways for RIAs to run afoul of regulators
Financial Planning
May 1, 2003
What's In A Name?
Financial Planning
January 1, 2003
To B-D or Not to B-D? Yes, you can start your own broker-dealer, but it's not a task for the faint-hearted or the undercapitalized
Financial Planning
January 1, 2003
Brokers are urged to lobby for sharing of commissions: Present rules found obstructive and outmoded
Investment News
April 1, 2002
Playing By New Rules: The SEC has redefined best execution. Here's what you need to know to stay in the game
Financial Planning
February 1, 2002
Working Capitol
Financial Planning
January 1, 2002
Compliance Officers on the War Path
January 1, 2002
New Privacy Deadline Nears
Financial Planning
June 1, 2001
Oh, What A Tangled Web: Online filing of Form ADV is supposed to make life easier for advisers, but the SEC's piecemeal approach may create chaos
Financial Planning
November 1, 2000
The After Life
June 1, 2000
SEC Compliance: Are Your Procedures in Order?
Financial Advisor Pro
April 2000
Advisers and Brokers Square Off
April 1, 2000
An Ear for Risk
March 1, 1999
Sign 'Em, but Don't Make 'Em Sign
December 1, 1998
New regulatory push requires broker/dealers to analyze ongoing education needs
Business & Management Practices
October 1, 1998
SEC Changes Performance Fee Rules
September 1, 1998
Supervising Reps' Net Activity Difficult
National Underwriter Life & Health € Financial Services Edition
June 15, 1998
Bull Market Arrogance
December 1, 1997
New Tax Law May Solve IC Issue
November 1, 1997
Getting Registration Right
Financial Planning
June 1994
Segmented Marketing Gives You the Inside Track
Financial Planning News
April 1994
Increasing Number of B/Ds Engage Outside Due Diligence Consultants
Financial Services Week
August 10, 1992
Nickeled-and-Dimed; Pennywise Prospecting
Registered Representative
February 1991
Planners Face Mounting Pressure to Register as Investment Advisers
Financial Planning
December 1990
Documentation: It's Worth the Effort
Personal Financial Planning
July/August 1990
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