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  • $100,000 LPL Fine Underlines Importance Of Archiving Emails

  • 2014 RIA Compliance: 23 Questions From Advisors And Answers

  • A Financially Literate Society Could Be A Boon To Advisors

  • AARP Joins Fiduciary Debate Alongside CFP Board, Financial Planning Association, And Other Consumer And Professonal Associations To Oppose Broker/Dealers And SIFMA

  • Accused By State Securities Regulators Of Falesly Advertising He Acted As A Fiduciary, Illinois Advisor Says He’s Done Nothing Wrong

  • Actiance Announces Socialite Engage to Help Financial Advisors Strengthen Client Relationships and Drive New Business Through Social Media

  • Actiance Unveils LinkedIn Static Content Pre-Approval Workflow Capabilities In Its Social Media Management And Compliance Solution

  • Advisors Beware: “Boiler Room Legalization Act” Is Expected To Be Implemented By SEC Shortly, Ushering In A New Era Of Investment Fraud

  • Ameriprise Fined $50,000 For Waiting Two Years To Punish Broker Who Forged Paperwork

  • Another Advisor Claiming To Be A Fiduciary Accused Of Defrauding Investors

  • Anti-Money Laundering Rules For Advisors Back On The Front Burner

  • Appointment Of Elisse Walter As SEC Chair-Designate Makes FINRA More Likely To Be Named Self-Regulatory Organization Overseeing RIAs

  • Are 9,000 Advisory Firms Going To Miss Thursday's ADV Filing Date?

  • Big Surprise: Advisors Nervous About Regulation Are Spending More On Compliance

  • California "Independent Contractor" Bill Passes After Advisor-Unfriendly Language Removed

  • CFA Institute Creates List Of Integrity Standards On 50th Anniversary Of Its Code Of Conduct

  • Choosing A Custodian

  • Clients Need Greater Disclosure And Clear Language In Choosing Advisors

  • Compliance Consultant Says New Form ADV Will Do Little To Improve Consumer Disclosure

  • Compliance Continuing Ed For RIAs

  • Compliance Officers' Supervisory Role Remains Nebulous At The SEC

  • Considering Moving To The Cloud? You'll Get Practical Tips From Today's Webinar Session And Maybe Some Controversy

  • Controversy About Facebook's IPO Has Little To Do With Its Effectiveness As A Marketing Tool

  • Cottage Industry Springs Up Around Compliance In Use Of Social Media

  • Culture Of Compliance

  • Deadline For Switch To State Regulation Is Extended

  • Decisions On Fiduciary Standard And Regulator Of RIAs Delayed Officially

  • Do FINRA and SEC Disclosures Drive You Nuts? Here's Your Chance To Let The SEC Know How To Fix It

  • Dodd-Frank Doesn't Have To Be Expensive, Compliance Officers Say

  • Does CFP Board’s Suggested Disclosure For Form ADV Mislead Consumers About Whether Their Advisor Is A Fiduciary?

  • Does The Revelation Of Fees Paid To Advisors From Schwab And Fidelity Taint The Perception That RIAs, As Fiduciaries, Are Above Conflicts?

  • Erado, An Advisor Products Compliance Partner, Named To Gartner’s “Cool Vendor” List

  • Fiduciary Capacity Isn't A Term That Only Applies To You; It May Also Apply To Your Clients

  • FINRA Announces Escalation of High-Risk Broker Program

  • FINRA Gears Up To Fine-Tune Its Social Media Guidance

  • FINRA Imposes Fines Totaling $600,000 Against Lincoln Financial For Failure To Protect Confidential Customer Information; RIAs Should Also Pay Attention

  • FINRA Requests Comment On Ways To Increase Investor Use Of BrokerCheck: My Suggestion Is To Consolidate Advisor Licensing Databases And Open It To Search Engines

  • FINRA's Estimate Of Cost Of Establishing And Maintaining An SRO For RIAs Challenged By Coalition Representing RIAs

  • FINRA's Ketchum, With "Mindless Regulator" Comment, Indicates FINRA Needs A New Leader

  • Five Compliance Areas To Focus On For In 2012

  • For Small BDs And Clearing Firms, FINRA Legal Action Serves As a Cautionary Tale On Anti-Money-Laundering Compliance

  • Give States Oversight And Examination Authority Over RIAs Managing $1 Billion Or Less To Solve The RIA Regulatory Mess

  • How RIAemail’s Automatic Email Encryption Works

  • How To Back Up Your Web E-Mail Account

  • How We Can Help You Survive The Fiduciary Firestorm

  • Identity Theft Rule Adopted By SEC; Provides New Guidance And Red Flags About How BDs and RIAs Must Protect Clients

  • If You Get A Letter Of Inquiry From FINRA, The Best Action Is To Answer It

  • In A Show Of How The SEC Is Tightening RIA Compliance, A Chicago Advisor Is Barred From Securities Business

  • Investment Adviser Association Identifies Top Compliance Concerns For Advisors This Year

  • Lawyers Tell Advisory Firms To Be Ready To Investigate SEC Whistleblower Claims On Their Own

  • Local Media Now Speculating That Securities America Is Fighting For Its Life

  • LPL Boosts Its E&O, Compliance, And Other Fees

  • Massachusetts Calls On SEC To Prohibit RIAs From Using Mandatory Arbitration Clauses, Saying It Is "Troubling," Widespread And Not Consistent With Fiduciary Practice

  • Murder, Ponzi Schemes, And Lack Of Regulatory Effectiveness Point To Need For Investor Education

  • New Bill Will Propose FINRA As Industry SRO

  • New Privacy Laws Being Passed By A String Of States May Conflict With FINRA Social Media Rules

  • New Survey Says Dodd-Frank Will Help Restore Client Trust

  • Old Unsuitable Securities Sales Finally Catch Up With LPL

  • Outsourcing Compliance? 38% Of All RIA Firms Are Doing Just That

  • Performance Reports Closely Scrutinized By SEC In Barring Investment Advisor Representative; A Lesson To Principals On Disclosing Reasons For Terminating Employees

  • Peter Schiff Says Ending The Regulators Would Give Investors Better Outcomes

  • Previous "Safe Harbor" Practices May Not Be Adequate In 2012, Compliance Guru Says

  • Questions About ByAllAccounts And When Account Aggregation Of 401(k) Assets Triggers Onerous Custody Rules Become Focus Of Webinar About 2014 SEC Examination Priorities For RIAs

  • Registered Reps With Their Own Independent RIA Must Keep Their Own Email And Social Media Archives In Addition To Their Broker-Dealer's Records

  • Researching The Advisor Tied To The Soccer Mom Who Allegedly Ran A Prostitution Ring Shows Why FINRA BrokerCheck Stinks And Why SEC And FINRA Are Not Trusted

  • Rhoades Steps Down As Chair-Elect Of NAPFA Over Registration Errors; Advisors Say Compliance Violations Are Easy To Make; Need To Outsource Compliance Is Increasing

  • RIA Fires Google Apps After Google Notifies Advisor Of A 15-Month Failure In Gmail's Archiving System; Gmail Archiver Accidentally Deleted Messages It Was Supposed To Retain

  • RIA Groups Release Study Saying FINRA Oversight Would Cost Twice As Much As Enhancing The SEC's Exam Program Of RIAs

  • RIAs Can't Be Consumer Advocates If They Disregard SEC Advertising Rules By Using Social Media Apps Without Archiving Their Posts

  • Scathing Column On Securities America Sales Practices By Minneapolis StarTribune Is Blind To Ameriprise's Mistakes

  • Search Engine And Ethical Considerations When Using Other People's Articles To Write Blog Posts

  • SEC Chief, Testifying Before Senate, Says Dodd-Frank Replaced 2,250 RIAs And $115 Billion AUM With 1,500 New RIAs Managing $3 Trillion

  • SEC Rewards Whistleblower With $150,000 Payout; This Is One Part Of Dodd Frank That Is Working

  • SEC Staff Says It Will Make Conflicts Of Interest Of Dually-Registered RIAs An Areas Of Focus Of RIA Examinations In 2013

  • SEC Targeting Compliance Officers Directly To Get Results

  • SEC Wants Data And Comments About Harmonization Of The Rules Governing The Way RIAs Deliver Advice Versus Broker-Dealers

  • SEC, FINRA Repeat Guidance On Branch Office Supervision

  • Securities America Advisors Keep An Eye On The Exits, But Ameriprise Will Probably Step Up

  • Securities America Loses $400 Million Private Placement "Poverty" Plea

  • Securities Lawyers Investigate Losses In UBS Willow Fund

  • Shoot The Fiduciary Messenger? Or Use The Debate To Spark Propitious Thinking...

  • Should Financial Advisors Register With Google Places? And Do Google Ratings And Reviews Break Rules Prohibiting RIA Testimonials?

  • Social Media Compliance Imbroglio At Netflix Illustrates Risk Securities Firms And Professionals Face From Unregulated Use Of Twitter, Facebook, And LinkedIn

  • Social Media Compliance Startup Socialware Raises $7 Million

  • SWS Undaunted By FINRA Fine, Raises $100 Million In New Equity

  • The New York Times Covers The Sad Irony Of The Mark Spangler Criminal Allegations

  • The Sad Irony Of Ron Rhoades’ Resignation As NAPFA’s Chairman-Elect; Brought Low For Making A Careless Mistake, He’s Paying For The Sins Of Others

  • Twitter Has Started Rolling Out The Option To Download All Your Tweets

  • Why Do So Few RIAs Accept Finra's Invitation To Administer Arbitrations With Clients? It Might Not Be Just Because They Don't Like Finra

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