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  • Purchased Electives

  • 12th Annual Evolution/Revolution Study Shows Small Firms Continue To Dominate The Industry

  • 2013 Federal Budget Proposal Earmarks More SEC Funds For Advisor Examinations

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

  • ADV Deadlines In Flux For State-Registered RIAs In Many Parts Of The Country

  • AdvisorOne Conducts Advisor Poll Weighs In On Who Should Be Schapiro's Successor And What Should Be The SEC's Top Priorities

  • An Open Letter To SEC Chair Mary Jo White: Please Modernize The RIA Testimonial Rule So That Consumers Could Rely On The Web To Connect Them With The Best Advisors

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

  • Arrest Warrants Out For Alleged Ringleaders Of $32 Million M&A Insider Trading Scheme

  • Banks, Congress Still Bickering Over Consumer Finance Bureau

  • Broker-Dealer Wounded By Private Placements Winds Down, But Not Before Finding 100 Advisors A New Home

  • California Advisor Stole $3 Million From Clients, SEC Alleges

  • Can Google Regulate Financial Advisors?

  • Chicago-Based MBA And Derivatives Consultant Points To Fraud As Cause Of 2008 Crisis

  • Cleaning Up Real Estate Fund Failures Still Keeping SEC Enforcers Busy, Years After The Crash

  • Clients Need Greater Disclosure And Clear Language In Choosing Advisors

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

  • Congress Scrapes Up Another $136 Million For The SEC, But Will That Ease The Regulatory Crunch?

  • Congressional Hearing On Bachus-McCarthy Bill Yields Inconlusive Delay

  • Culture Of Compliance

  • Cybersecurity Top Risk For Financial Firms

  • Decisions On Fiduciary Standard And Regulator Of RIAs Delayed Officially

  • District Judge Challenges SEC Settlement System As More "Half-Baked Justice"

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

  • Dodd-Frank "Too Popular" To Kill Outright, Barney Frank Says

  • Dodd-Frank Legislation To Be Reviewed During Entire Month Of July

  • Does Advising On IRAs Make You A Fiduciary And Can A Computer Model Absolve You Of Your Fiduciary Responsibility?

  • Enforcement Actions Against Investment Advisors Have Doubled Since 2009

  • Fighting The Regulators Pays Off For A Shocking Number Of Firms Accused Of Misconduct

  • Financial Planning Coalition Delivers 5,000 Signatures In Favor Of Universal Fiduciary Standard

  • Financial Planning Coalition, Taking On Wall Street And The SEC, In A David Versus Goliath Battle On The Fiduciary Standard

  • FINRA As SRO Battle Heats Up As Industry Participants Form Lobbying Group

  • FINRA Comes Up Short In Examination By Government Accountability Office

  • FINRA Creates Interim Form For Crowdfunding Portals And Will Use Information Gathered To Formulate Rules

  • 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 Seems Determined To Fulfill Its Business Growth Goals Despite Falling Membership Numbers

  • FINRA's Rick Ketchum Calls RIA Arguments Against SRO A "Red Herring"

  • Former Owners Of First Allied Securities Get SEC Probe Notice

  • Former SEC Chair Levitt Says Since SEC Did Not Pursue Money Fund Reform, FSOC Certainly Should

  • Former SEC Chair Schapiro Reportedly Joining Consulting Firm; Another Former Regulator Cashes In On Contacts In A Subtle, Legal Form Of Corruption

  • Funding Compromise For SEC May Be Worst Of Both Worlds

  • Government Accountability Office (GOA) Says FINRA Should Review 10 Of Its Rules

  • Hedge Funds Will Become More Of A Target For SEC When JOBS Act Provision Is Enacted

  • House Republicans Fire Back At What They See As An Out-Of-Control SEC

  • Huntington Beach Advisor Accused Of Gross Inflation Of AUM

  • 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

  • If You Outsource IT, Be Sure Your Vendor Knows The Financial Services Business

  • Implementation Of Proposed Private Issuer Advertising Rule May Result In Litigation For SEC In 2013

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

  • Insurance Broker Aon Pays $16 Million To Settle Charges That It Bribed Prospects To Sign Up

  • Investment Adviser Charged By SEC For Failing To Adopt Proper Cybersecurity Polices And Procedures

  • It's Official: The SEC Is Checking ADV Claims And Punishing "Creative" Errors

  • JP Morgan Chase Mutual Fund Sales Scandal Shows SEC Is A Joke At Investor Protection: RIAs Should Rise Up Against The SEC And Be Advocates For Investors

  • Make It Real: A Guide To Tapping The Power Of Doing The Right Thing

  • Mandatory Advisor Exams Are Out At The SEC, "High-Risk" Screening Is In

  • Mark Spangler Indicted On 23 Counts Of Fraud And Money Laundering; Government Seeks $41.7 Million

  • Mary Schapiro Gears Up For 2012 SEC Budget Fight, Clarifies Goals

  • Mary Schapiro Pleads The SEC's Case For More Money, But Does The Independent Audit Help Or Hurt Her?

  • Mary Schapiro Still Committed To Universal Fiduciary Standard, Warns On SEC Funding Issues

  • Mary Schapiro Takes New Findings On Former Top Lawyer's Madoff Conflict Of Interest "Very Seriously"

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

  • Mets Blame Their Madoff Woes On Too Much Trust In The SEC

  • Michael Oxley Registers To Lobby For FINRA To Regulate RIAs

  • New House Budget Proposal Trims Dodd-Frank But Leaves Most Of The Reforms Intact

  • New SEC Commissioner Already Eager To Drag His Feet

  • News Analysis: The Real Story Behind The SEC Warning That It Has Found “Widespread” Violations By RIAs Of The Custody Rule

  • Obama Nominates Securities Lawyer To SEC, But Don't Expect It To Speed Up Decisions On Regulatory Reform Issues Affecting Independent Financial Advisors

  • One-Time CFP, Long-Time Financial Planner Charged With Stealing Client Money On Top Of Previous Charges Of Tax Fraud

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

  • POGO Report Shows Possible Influence Of Wall Street Executives On SEC Policy And Enforcement Decision Making

  • Private Placements Earn Capital Financial Services A Cease & Desist Order

  • Prominent Advisors Come Out In Favor Of Student-Created RIA Regulator

  • Recent SEC Case Proves That Even CPAs Can Lie

  • 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

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

  • RIAs Don’t Seem To Care Very Much About The Regulatory Debate; Reaction To Last Week’s FINRA-SRO News Was Muted

  • Sad Case: Houston Advisor Under SEC Investigation Kills Self, Revealing Dark Side Of Sports-Investing Business

  • Schapiro To House: SEC Needs $1.4 Billion To Hire 780 New People

  • Schwab Is Instituting Automatic Suitability Warnings On Exchange Traded Notes (ETNs)

  • SEC Agrees To Propose Rule With 30-Day Comment Period That Would Allow Issuers Of Private Investors To Advertise To The Public

  • SEC Approves New "Switch" Rule for Mid-Sized Investment Advisors

  • SEC Approves New Identity Theft Rules

  • SEC Approves Separate Registration For Backoffice Staff, But Lawyers Still Worry

  • SEC Chairman Mary Schapiro To Step Down In Three Weeks

  • SEC Confesses It Will Probably Never Be Able To Supervise RIAs As Often As Congress Wants

  • SEC Cracks Down On $7 Million Alleged Ponzi Scheme

  • SEC Extends For Two Years Principal Trading Rule For Non-Discretionary Accounts

  • SEC Forms New Committee In Line With Dodd-Frank

  • SEC Impersonator Not Winning Friends At The Regulator

  • SEC Internal Probe Blasts The Regulator's Office Space Usage As Wasteful And Overly Ambitious

  • SEC Now Facing Legal Pressure From Allen Stanford's Aggrieved Clients

  • SEC Proposes Deeper Scrutiny Of Broker-Dealers

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

  • SEC Says St. Louis RIA Manipulated Stock Prices ... To Boost His Clients' Returns

  • SEC Seeks Comments On Investor Education Programs

  • SEC Shifts The Hot Seat On Structured Product Sales From Due Diligence To Suitability

  • SEC Shuts Down "Major League Baseball" Celebrity Prospecting Scheme

  • SEC Spends Funds On Mandated Consulting But Can't Afford To Implement Recommendations

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

  • SEC Staffing Up Fast To Monitor...Hedge Funds, Derivative Traders

  • SEC Vows Again To Get Tough On ADV Frauds

  • SEC Whistleblower Rewards Could Generate A Flood Of Tips

  • SEC's New Investor Advisor Committee Focuses On Investor Needs Rather Than Fiducairy Status Of Intermediaries

  • SEC's Schapiro Steps Up Efforts To Ensure Integrity And Capacity Of Computer Program Traders

  • Securities Lawyer's Frustration Over SEC Pornography Scandal Hits FOIA Brick Wall

  • SRO Bill Introduced In The House Will Likely Fail In The Senate

  • Switch Of Mid-Size RIAs To State Supervision Is Official

  • Switch To State Regulation May Be The Closest Thing To An Audit Some RIAs Have Ever Experienced

  • Texas, Other States Banking On RIA Deadline Extension

  • The Battle Between SIFMA And The Institute For The Fiduciary Standard Heats Up

  • The Deadline For Filing For State Registration Is Next Week!

  • The Margin Between State And SEC Regulation Widens To Give RIAs More Flexibility

  • The SEC Has Published A Cybersecurity Preparedness Guide, Will You Pass The Audit?

  • The SEC Is Updating Its Technology Systems To Better Detect Fraud

  • U.S. Chamber Of Commerce Argues That SEC Needs Streamlined, FINRA Needs Reined In

  • UBS Pays $160 Million In Muni Bond Charges

  • What The SEC Plans To Do If The Government Shuts Down

  • With So Little Action On Dodd-Frank Over The Past Two Years, Many Are Dubbing It Dud-Frank

  • Would Relaxing The Rules On Capital Reserves Help Or Hurt Broker-Dealers?

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