Rulebook http://wealthmanagement.com/blog/246001/feed Compliance, regulatory and legal issues, with a fair amount of cops and robbers for fun. en 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 Fiduciary Advocates: We Need a New Strategy http://wealthmanagement.com/blog/fiduciary-advocates-we-need-new-strategy <div class="node-body blog-body">The brokerage industry outspends RIAs 50 to one in lobbying dollars, and the press hasn't done a good job covering the fiduciary debate, advocates for the fiduciary standard said during NAPFA's fall conference today. The industry needs a new strategy.</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/fiduciary-advocates-we-need-new-strategy" target="_blank">read more</a></p> http://wealthmanagement.com/blog/fiduciary-advocates-we-need-new-strategy#comments RIAs Blogs Rulebook Thu, 23 Oct 2014 13:13:00 +0000 688081 at http://wealthmanagement.com Is More Regulation Really Necessary to Protect Investors? http://wealthmanagement.com/blog/more-regulation-really-necessary-protect-investors <div class="node-body blog-body"><p>The Financial Planning Coalition is advocating for new regulatory standards for financial planners, contending new research shows investors are harmed by the lack of appropriate standards.</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/more-regulation-really-necessary-protect-investors" target="_blank">read more</a></p> http://wealthmanagement.com/blog/more-regulation-really-necessary-protect-investors#comments Industry Blogs Rulebook Mon, 20 Oct 2014 16:47:00 +0000 685371 at http://wealthmanagement.com <div> miflippo/iStock/Thinkstock</div>