Rulebook http://wealthmanagement.com/blog/246001/feed en NASAA Updates Series 63, 65, 66 Exam Content http://wealthmanagement.com/blog/nasaa-updates-series-63-65-66-exam-content <div class="node-body blog-body">The Series 63, 65 and 66 exams are keeping with the times. The North American Securities Administrators Association announced Thursday the exams, which are administered by FINRA, will now test for knowledge around social media and cybersecurity topics.</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/nasaa-updates-series-63-65-66-exam-content" target="_blank">read more</a></p> http://wealthmanagement.com/blog/nasaa-updates-series-63-65-66-exam-content#comments Industry Blogs Rulebook Thu, 04 Feb 2016 20:51:00 +0000 1098961 at http://wealthmanagement.com FINRA Plans Changes to Registration and Testing Rules http://wealthmanagement.com/blog/finra-plans-changes-registration-and-testing-rules <div class="node-body blog-body">The Financial Industry Regulatory Authority will be working on a number of rule changes in 2016, including moving forward on its plan to revamp license testing, as well as creating a waiver program for those taking a leave of absence or performing different job functions.</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/finra-plans-changes-registration-and-testing-rules" target="_blank">read more</a></p> http://wealthmanagement.com/blog/finra-plans-changes-registration-and-testing-rules#comments Industry Blogs Regulation & Compliance Rulebook Thu, 28 Jan 2016 20:11:00 +0000 1093221 at http://wealthmanagement.com <p>Bob Colby, FINRA&#39;s <span class="st">Chief Legal Officer</span></p> IBDs Lagging in Cybersecurity Safeguards http://wealthmanagement.com/blog/ibds-lagging-cybersecurity-safeguards <div class="node-body blog-body">When it comes to cybersecurity, independent broker-dealers lag the wider industry on utilizing basic safeguards to protect customer information and prevent fraudulent activity.</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/ibds-lagging-cybersecurity-safeguards" target="_blank">read more</a></p> http://wealthmanagement.com/blog/ibds-lagging-cybersecurity-safeguards#comments IBDs Technology Blogs Rulebook Tue, 26 Jan 2016 17:12:00 +0000 1090391 at http://wealthmanagement.com Chamber of Commerce to Fight DOL Fiduciary Rule http://wealthmanagement.com/blog/chamber-commerce-fight-dol-fiduciary-rule <div class="node-body blog-body">The U.S. Chamber of Commerce said Thursday it will use every tool at its disposal to challenge the Department of Labor’s proposed fiduciary rule, including a potential lawsuit and working with Congress.</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/chamber-commerce-fight-dol-fiduciary-rule" target="_blank">read more</a></p> http://wealthmanagement.com/blog/chamber-commerce-fight-dol-fiduciary-rule#comments Blogs Rulebook Thu, 14 Jan 2016 18:22:00 +0000 1076001 at http://wealthmanagement.com ETF, Variable Annuity Sales Top SEC's 2016 Watchlist http://wealthmanagement.com/blog/etf-variable-annuity-sales-top-secs-2016-watchlist <div class="node-body blog-body">The Securities and Exchange Commission will be looking more closely at exchange traded funds and variable annuities this year.</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/etf-variable-annuity-sales-top-secs-2016-watchlist" target="_blank">read more</a></p> http://wealthmanagement.com/blog/etf-variable-annuity-sales-top-secs-2016-watchlist#comments Blogs Regulation & Compliance Rulebook Mon, 11 Jan 2016 18:59:00 +0000 1073181 at http://wealthmanagement.com Senior Hotline Sees Early Success http://wealthmanagement.com/blog/senior-hotline-sees-early-success <div class="node-body blog-body">The Financial Industry Regulatory Authority’s Securities Helpline for Seniors has responded to over 2,500 calls and helped recover nearly $750,000 from investors since the service launched in April.</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/senior-hotline-sees-early-success" target="_blank">read more</a></p> http://wealthmanagement.com/blog/senior-hotline-sees-early-success#comments Industry Blogs Regulation & Compliance Rulebook Thu, 31 Dec 2015 15:33:00 +0000 1065641 at http://wealthmanagement.com <p>Copyright Steve Eason, Hulton Archive, Getty Images.</p> WATCH LIVE: Federal Reserve Meeting http://wealthmanagement.com/blog/watch-live-federal-reserve-meeting <div class="node-body blog-body">Follow along as the WealthManagement.com staff provides up-to-the-minute on what advisors need to know about the Federal Reserve's decision to hike interest rates for the first time in nearly a decade.</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/watch-live-federal-reserve-meeting" target="_blank">read more</a></p> http://wealthmanagement.com/blog/watch-live-federal-reserve-meeting#comments Markets People Blogs Fixed Income Rulebook Wed, 16 Dec 2015 16:32:00 +0000 1057651 at http://wealthmanagement.com <p><em>Copyright Chip Somodevilla, Getty Images</em></p> SEC Goes After Soccer Club Owner for Fraud http://wealthmanagement.com/blog/sec-goes-after-soccer-club-owner-fraud <div class="node-body blog-body"><p>The owner of an English soccer club is nothing more than a penny stock fraudster, mixing lies and threats to line his pocket with investors&rsquo; money,&nbsp;the U.S. Securities and Exchange Commission claimed Friday after the regulator obtained a court-ordered asset freeze against the Fla.-based owner and his&nbsp;company.</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/sec-goes-after-soccer-club-owner-fraud" target="_blank">read more</a></p> http://wealthmanagement.com/blog/sec-goes-after-soccer-club-owner-fraud#comments Blogs Rulebook Fri, 11 Dec 2015 22:48:00 +0000 1054581 at http://wealthmanagement.com <p>Copyright&nbsp;Bryn Lennon/Getty Images.&nbsp;</p> <div>&nbsp;</div> At Least We Can All Agree Fiduciary Is An Inconsistent Standard http://wealthmanagement.com/blog/least-we-can-all-agree-fiduciary-inconsistent-standard <div class="node-body blog-body">How can the financial services industry expect investors to understand and care if their advisor is acting as a fiduciary when many participants don’t even grasp all the implications?</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/least-we-can-all-agree-fiduciary-inconsistent-standard" target="_blank">read more</a></p> http://wealthmanagement.com/blog/least-we-can-all-agree-fiduciary-inconsistent-standard#comments Industry Blogs Rulebook Mon, 07 Dec 2015 16:50:00 +0000 1050501 at http://wealthmanagement.com Democrats Step Up Fight Against Dodd-Frank Rollbacks http://wealthmanagement.com/blog/democrats-step-fight-against-dodd-frank-rollbacks <div class="node-body blog-body">Progressive Democrats are pushing back hard on efforts to roll back Dodd Frank legislation and derail the Department of Labor’s fiduciary rule.</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/democrats-step-fight-against-dodd-frank-rollbacks" target="_blank">read more</a></p> http://wealthmanagement.com/blog/democrats-step-fight-against-dodd-frank-rollbacks#comments Blogs Rulebook Thu, 03 Dec 2015 21:33:00 +0000 1048851 at http://wealthmanagement.com <p>Copyright Chip Somodevilla/Getty Images.</p> Members of Congress Slam Robo Advice http://wealthmanagement.com/blog/members-congress-slam-robo-advice <div class="node-body blog-body"><p>Congressional representatives slam the notion that so-called robo advisors can be an adequate source of investment advice in the wake of proposed changes to Fiduciary rules around retirement accounts.</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/members-congress-slam-robo-advice" target="_blank">read more</a></p> http://wealthmanagement.com/blog/members-congress-slam-robo-advice#comments Technology Blogs Regulation & Compliance Rulebook Wed, 02 Dec 2015 17:56:00 +0000 1047481 at http://wealthmanagement.com <p><em>Jason Reed/Ryan McVay/Photodisc/Thinkstock</em></p> SEC Chair Mary Jo White Dances Around Fiduciary Timeframe http://wealthmanagement.com/blog/sec-chair-mary-jo-white-dances-around-fiduciary-timeframe <div class="node-body blog-body">The head of the Securities and Exchange Commission played coy again on Tuesday when outlining a timeframe the industry can expect the the regulator’s 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-chair-mary-jo-white-dances-around-fiduciary-timeframe" target="_blank">read more</a></p> http://wealthmanagement.com/blog/sec-chair-mary-jo-white-dances-around-fiduciary-timeframe#comments Industry Blogs Rulebook Tue, 10 Nov 2015 14:30:00 +0000 1032481 at http://wealthmanagement.com Tread Carefully When Outsourcing Compliance http://wealthmanagement.com/blog/tread-carefully-when-outsourcing-compliance <div class="node-body blog-body">Advisory firms that have outsourced their compliance programs may need to double check to ensure their providers are actually covering everything. </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/tread-carefully-when-outsourcing-compliance" target="_blank">read more</a></p> http://wealthmanagement.com/blog/tread-carefully-when-outsourcing-compliance#comments Blogs Regulation & Compliance Rulebook Mon, 09 Nov 2015 21:31:00 +0000 1032041 at http://wealthmanagement.com Congressional Report Finds SEC, Others Lack Diversity http://wealthmanagement.com/blog/congressional-report-finds-sec-others-lack-diversity <div class="node-body blog-body"><p>Minorities and women remain underrepresented at agencies that regulate the financial services industry, including at the Securities and Exchange Commission.</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/congressional-report-finds-sec-others-lack-diversity" target="_blank">read more</a></p> http://wealthmanagement.com/blog/congressional-report-finds-sec-others-lack-diversity#comments Industry Blogs Regulation & Compliance Rulebook Thu, 05 Nov 2015 17:49:00 +0000 1030371 at http://wealthmanagement.com <p>Copyright Michael Dodge/Getty Images.</p> Greg Valliere: No Tax Increases—For Now http://wealthmanagement.com/blog/greg-valliere-no-tax-increases-now <div class="node-body blog-body">Don't expect Congress to push through any tax increases over the next few years, political analyst Greg Valliere said at FSI's annual Advisor Summit. </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/greg-valliere-no-tax-increases-now" target="_blank">read more</a></p> http://wealthmanagement.com/blog/greg-valliere-no-tax-increases-now#comments Taxes Blogs Rulebook Tue, 03 Nov 2015 16:00:00 +0000 1028081 at http://wealthmanagement.com