Rulebook http://wealthmanagement.com/blog/246001/feed Compliance, regulatory and legal issues, with a fair amount of cops and robbers for fun. en 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 Blogs RIAs 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 Blogs Industry Rulebook Mon, 20 Oct 2014 16:47:00 +0000 685371 at http://wealthmanagement.com <div> miflippo/iStock/Thinkstock</div> FSI Responds to CARDS by Forming Task Force http://wealthmanagement.com/blog/fsi-responds-cards-forming-task-force <div class="node-body blog-body">FSI formed a task force of broker/dealer executives to analyze and respond to FINRA's Comprehensive Automated Risk Data System (CARDS) proposal.</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-responds-cards-forming-task-force" target="_blank">read more</a></p> http://wealthmanagement.com/blog/fsi-responds-cards-forming-task-force#comments Blogs IBDs Regulation & Compliance Rulebook Thu, 02 Oct 2014 15:43:00 +0000 670101 at http://wealthmanagement.com <p>FSI President and CEO Dale Brown speaking at the organization&#39;s recent Financial Advisor Summit event in Washington, D.C.</p> 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