Rulebook http://wealthmanagement.com/blog/246001/feed Compliance, regulatory and legal issues, with a fair amount of cops and robbers for fun. en The SEC Needs to Fix the Problem It Created http://wealthmanagement.com/blog/sec-needs-fix-problem-it-created <div class="node-body blog-body">Investors are being deceived about the nature of the advice they're getting, and it's a problem the SEC has created, says investor advocate Barbara Roper. </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/sec-needs-fix-problem-it-created" target="_blank">read more</a></p> http://wealthmanagement.com/blog/sec-needs-fix-problem-it-created#comments Blogs Legal Regulation & Compliance Rulebook Thu, 04 Sep 2014 21:54:00 +0000 645851 at http://wealthmanagement.com The Blotter Report: Dirty Rotten Liars http://wealthmanagement.com/blog/blotter-report-dirty-rotten-liars <div class="node-body blog-body">A self-titled financial coach is in trouble over some shady financial advice while a Missouri who took off over his con starting unraveling takes a plea deal.</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/blotter-report-dirty-rotten-liars" target="_blank">read more</a></p> http://wealthmanagement.com/blog/blotter-report-dirty-rotten-liars#comments Blogs Legal Rulebook Mon, 18 Aug 2014 18:21:00 +0000 632561 at http://wealthmanagement.com FSI Taps Antoniades to Replace Brown on Board http://wealthmanagement.com/blog/fsi-taps-antoniades-replace-brown-board <div class="node-body blog-body">The Financial Services Institute elected Cetera Financial Group President Adam Antoniades to serve as vice chair on its board of directors, replacing outgoing Valerie Brown following her departure from Cetera.</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/fsi-taps-antoniades-replace-brown-board" target="_blank">read more</a></p> http://wealthmanagement.com/blog/fsi-taps-antoniades-replace-brown-board#comments Blogs IBDs Rulebook Tue, 05 Aug 2014 14:25:00 +0000 621761 at http://wealthmanagement.com Blotter Report: The Deathdealer http://wealthmanagement.com/blog/blotter-report-deathdealer <div class="node-body blog-body">A Los Angeles broker will pay for his role in bringing a whole new meaning to the phrase “death benefits.”</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/blotter-report-deathdealer" target="_blank">read more</a></p> http://wealthmanagement.com/blog/blotter-report-deathdealer#comments Blogs Legal Rulebook Thu, 31 Jul 2014 19:11:00 +0000 618441 at http://wealthmanagement.com The Blotter Report: Where Did it All Go Wrong? http://wealthmanagement.com/blog/blotter-report-where-did-it-all-go-wrong <div class="node-body blog-body">The evidence keeps piling up against a Long Island financial planner accused of stealing $1.6 million from charities and clients. Meanwhile FINRA banned a Los Angeles analyst for lying to investigators looking into an insider trading scheme. </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/blotter-report-where-did-it-all-go-wrong" target="_blank">read more</a></p> http://wealthmanagement.com/blog/blotter-report-where-did-it-all-go-wrong#comments Blogs Legal Rulebook Wed, 09 Jul 2014 16:41:00 +0000 600581 at http://wealthmanagement.com RIAs Increase Compliance Staff, Training http://wealthmanagement.com/blog/rias-increase-compliance-staff-training <div class="node-body blog-body">RIA firms continue to increase their investment in compliance, boosting the number of dedicated staff and overall employee training, according to a recent survey.</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/rias-increase-compliance-staff-training" target="_blank">read more</a></p> http://wealthmanagement.com/blog/rias-increase-compliance-staff-training#comments Blogs RIAs Regulation & Compliance Rulebook Mon, 07 Jul 2014 16:14:00 +0000 599071 at http://wealthmanagement.com SEC May Lack Sufficient Data for Fidiciary Rule, Industry Groups Cry Foul http://wealthmanagement.com/blog/sec-may-lack-sufficient-data-fidiciary-rule-industry-groups-cry-foul <div class="node-body blog-body">A senior official with the Securities Exchange Commission told Congress Thursday the regulator may not have sufficient data to move ahead on fiduciary rulemaking, but industry groups aren’t buying it.</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/sec-may-lack-sufficient-data-fidiciary-rule-industry-groups-cry-foul" target="_blank">read more</a></p> http://wealthmanagement.com/blog/sec-may-lack-sufficient-data-fidiciary-rule-industry-groups-cry-foul#comments Blogs Industry Rulebook Fri, 27 Jun 2014 13:47:00 +0000 593461 at http://wealthmanagement.com Arbitrator Rule Should Be Based on Data, Not Perception http://wealthmanagement.com/blog/arbitrator-rule-should-be-based-data-not-perception <div class="node-body blog-body">Don Runkle, former head of compliance for Raymond James and current director of consulting services at Edgerton & Weaver, speaks out against FINRA's changes to the arbitrator definitions. </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/arbitrator-rule-should-be-based-data-not-perception" target="_blank">read more</a></p> http://wealthmanagement.com/blog/arbitrator-rule-should-be-based-data-not-perception#comments Blogs Legal Rulebook Thu, 26 Jun 2014 20:43:00 +0000 592991 at http://wealthmanagement.com <p>Photo by Spencer Weiner-Pool/Getty Images.</p> Arbitrator Rule Should Be Based on Data, Not Perception http://wealthmanagement.com/blog/arbitrator-rule-should-be-based-data-not-perception <div class="node-body blog-body">Don Runkle, former head of compliance for Raymond James and current director of consulting services at Edgerton & Weaver, speaks out against FINRA's changes to the arbitrator definitions. </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/arbitrator-rule-should-be-based-data-not-perception" target="_blank">read more</a></p> http://wealthmanagement.com/blog/arbitrator-rule-should-be-based-data-not-perception#comments Blogs Legal Rulebook Thu, 26 Jun 2014 20:43:00 +0000 592991 at http://wealthmanagement.com <p>Photo by Spencer Weiner-Pool/Getty Images.</p> FPA Pushes For Senate User-Fee Bill http://wealthmanagement.com/blog/fpa-pushes-senate-user-fee-bill <div class="node-body blog-body">The Financial Planning Association is seeking to resurrect the concept of allowing the Securities Exchange Commission to collect fees to fund advisor exams.</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/fpa-pushes-senate-user-fee-bill" target="_blank">read more</a></p> http://wealthmanagement.com/blog/fpa-pushes-senate-user-fee-bill#comments Blogs Legal Rulebook Mon, 23 Jun 2014 20:09:00 +0000 590311 at http://wealthmanagement.com <p>Photo by Brendan Hoffman/Getty Images.</p>