Registered Investment Advisors
Mandatory Advisor Exams Are Out At The SEC, "High-Risk" Screening Is In
A bit of clarification from the SEC on its examination protocols confirms what many advisors already suspected: the long wait between audits is a matter of regulatory triage.
Former Orange County Advisor Held On Manslaughter Charge After Client Discovered His Account Was Being Drained
A week after being barred from the industry, a Santa Monica, California, "financial consultant" now faces charges that he killed a client who found out that he was draining hundreds of thousands of dollars from investment accounts.
Six Weeks Before Mid-Size SEC-Registered Advisors Switch To State Regulation
Compliance professionals say there's going to be a rush of advisors trying to switch their registration from the SEC in about a month, but they admit that the details can get confusing.
2013 Federal Budget Proposal Earmarks More SEC Funds For Advisor Examinations
It's rare that an industry embraces tighter regulation, but investment advisors who were dreading being handed to FINRA may welcome the Obama administration's ongoing efforts to boost SEC oversight.
SEC Targeting Compliance Officers Directly To Get Results
The regulators are cracking down on the people inside advisory firms responsible for enforcing policy: the compliance officers themselves.
More Articles ...
- Performance Reports Closely Scrutinized By SEC In Barring Investment Advisor Representative; A Lesson To Principals On Disclosing Reasons For Terminating Employees
- The SEC Has So Much On Its Plate That Advisory Regulation, Fiduciary Rules Are Rolling Off
- Advisor's LinkedIn Scam Triggers SEC Social Media Alert
- No Progress? 2011 Ends With The Same Regulatory Questions Advisors Were Facing 12 Months Ago
