Rulebook http://wealthmanagement.com/blog/246001/feed Compliance, regulatory and legal issues, with a fair amount of cops and robbers for fun. en Republican Revives Bill to Block DOL Fiduciary Rule http://wealthmanagement.com/blog/republican-revives-bill-block-dol-fiduciary-rule <div class="node-body blog-body">Congresswoman Ann Wagner (R-Mo.) pushed back against President Barack Obama and the Department of Labor&rsquo;s proposed fiduciary rulemaking, proposing a bill aimed at stalling the labor agency until the SEC had a chance to propose rules.</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/republican-revives-bill-block-dol-fiduciary-rule" target="_blank">read more</a></p> http://wealthmanagement.com/blog/republican-revives-bill-block-dol-fiduciary-rule#comments Industry Blogs Rulebook Wed, 25 Feb 2015 20:58:00 +0000 793271 at http://wealthmanagement.com <p>U.S. Rep. Ann Wagner</p> <p><em>Copyright <span id="spanArtist">Chip Somodevilla, Getty Images</span></em></p> Collaboration, Information-Sharing Key to Cybersecurity http://wealthmanagement.com/blog/collaboration-information-sharing-key-cybersecurity <div class="node-body blog-body"><p>Cybersecurity must be a collaborative effort between the industry, regulators and policymakers, the president and CEO of the SIFMA said Wednesday.</p></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/collaboration-information-sharing-key-cybersecurity" target="_blank">read more</a></p> http://wealthmanagement.com/blog/collaboration-information-sharing-key-cybersecurity#comments Industry Blogs Rulebook Wed, 04 Feb 2015 16:02:00 +0000 771921 at http://wealthmanagement.com Congress Could Close Tax Loopholes to Raise Money http://wealthmanagement.com/blog/congress-could-close-tax-loopholes-raise-money <div class="node-body blog-body">Advisors need to keep an eye on potential tax loophole closures as the year goes forward, particularly as the government faces funding legislation around homeland security and highways.</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/congress-could-close-tax-loopholes-raise-money" target="_blank">read more</a></p> http://wealthmanagement.com/blog/congress-could-close-tax-loopholes-raise-money#comments Taxes Blogs Rulebook Tue, 27 Jan 2015 21:18:00 +0000 763461 at http://wealthmanagement.com <p>Andy Friedman of the Washington Update speaks at FSI OneVoice on Tuesday.</p> Advisors Need to Engage Washington to Change Perception of Wall Street http://wealthmanagement.com/blog/advisors-need-engage-washington-change-perception-wall-street <div class="node-body blog-body">Advisors are going to have to play the long game if they want to change the way broker/dealers are lumped together with Wall Street. </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/advisors-need-engage-washington-change-perception-wall-street" target="_blank">read more</a></p> http://wealthmanagement.com/blog/advisors-need-engage-washington-change-perception-wall-street#comments IBDs Blogs Rulebook Tue, 27 Jan 2015 04:43:00 +0000 762421 at http://wealthmanagement.com <p>Photo by Brian M. Finnigan.</p> Wirehouse Advisors Gripe About, Increasingly Satisfied with Compliance http://wealthmanagement.com/blog/wirehouse-advisors-gripe-about-increasingly-satisfied-compliance <div class="node-body blog-body">Despite constant and vocal grumbling, national brokerage and wirehouse advisors have steadily increased their satisfaction ratings of firms’ compliance programs.</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/wirehouse-advisors-gripe-about-increasingly-satisfied-compliance" target="_blank">read more</a></p> http://wealthmanagement.com/blog/wirehouse-advisors-gripe-about-increasingly-satisfied-compliance#comments 2014 Broker Report Card Blogs Wirehouse Rulebook Mon, 29 Dec 2014 10:10:00 +0000 732941 at http://wealthmanagement.com Busted: Alts Manager Taken Away in Handcuffs http://wealthmanagement.com/blog/busted-alts-manager-taken-away-handcuffs <div class="node-body blog-body">Daniel Thibeault, a Harvard Business School graduate and president and chief investment officer of GL Capital Partners, was arrested last week and charged with securities fraud.</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/busted-alts-manager-taken-away-handcuffs" target="_blank">read more</a></p> http://wealthmanagement.com/blog/busted-alts-manager-taken-away-handcuffs#comments Legal Blogs Rulebook Tue, 16 Dec 2014 19:29:00 +0000 732971 at http://wealthmanagement.com SEC Examination Schedule Unlikely to Change. But Does It Need to? http://wealthmanagement.com/blog/sec-examination-schedule-unlikely-change-does-it-need <div class="node-body blog-body">Is it enough to simply examine RIA firms on a limited scope basis? It was a lingering question after a session with the MarketCounsel executive team on Tuesday.</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-examination-schedule-unlikely-change-does-it-need" target="_blank">read more</a></p> http://wealthmanagement.com/blog/sec-examination-schedule-unlikely-change-does-it-need#comments RIAs Blogs Rulebook Tue, 09 Dec 2014 21:36:00 +0000 727201 at http://wealthmanagement.com Dawn Bennett: Dallas Cowboys Lawsuit 'Should Never Have Been Filed' http://wealthmanagement.com/blog/dawn-bennett-dallas-cowboys-lawsuit-should-never-have-been-filed <div class="node-body blog-body">In a statement from her spokesperson, Dawn Bennett said the Dallas Cowboys were retracting their $7.3 million lawsuit and said it "never should have been filed." </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/dawn-bennett-dallas-cowboys-lawsuit-should-never-have-been-filed" target="_blank">read more</a></p> http://wealthmanagement.com/blog/dawn-bennett-dallas-cowboys-lawsuit-should-never-have-been-filed#comments Legal People Blogs Rulebook Fri, 21 Nov 2014 21:48:00 +0000 713471 at http://wealthmanagement.com <p><em>Copyright Ronald Martinez, Getty Images</em></p> SEC Remains Undecided on Fate of Fiduciary Standard http://wealthmanagement.com/blog/sec-remains-undecided-fate-fiduciary-standard <div class="node-body blog-body">The Securities Exchange Commission remains undecided on whether or how to move forward on a uniform fiduciary standard. </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-remains-undecided-fate-fiduciary-standard" target="_blank">read more</a></p> http://wealthmanagement.com/blog/sec-remains-undecided-fate-fiduciary-standard#comments Legal Blogs Regulation & Compliance Rulebook Mon, 10 Nov 2014 15:24:00 +0000 702741 at http://wealthmanagement.com <p>SEC Chair Mary Jo White</p> State Securities Caseload Down Even as Jail Time Increases http://wealthmanagement.com/blog/state-securities-caseload-down-even-jail-time-increases <div class="node-body blog-body">State regulators’ enforcement actions were down almost 13 percent in 2013, yet the average length of incarceration for securities crimes more than doubled.</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/state-securities-caseload-down-even-jail-time-increases" target="_blank">read more</a></p> http://wealthmanagement.com/blog/state-securities-caseload-down-even-jail-time-increases#comments Legal Blogs Rulebook Wed, 05 Nov 2014 11:36:00 +0000 697731 at http://wealthmanagement.com