Web Results

www.sec.gov/news/speech/alicea-2016-aicpa.html

Dec 5, 2016 ... In addition to the observations I provide today, you will also hear from ... questions discussed by the TRG and AICPA Industry Task Forces, ... I observe that the guidance in Topic 606 explicitly limits which contracts should be combined. ... to their adoption of the new revenue standard so it will continue to be ...

www.sec.gov/news/pressrelease/2017-52.html

Feb 23, 2017 ... Investors can use the SEC's Investment Adviser Public Disclosure (IAPD) ... of the Advisers Act. The Guidance Update notes that there may be a ...

www.sec.gov/investment/im-guidance-2017-02.pdf

While many robo-advisers were initially geared towards millennials, their ... and that not all of the issues addressed in this guidance will be applicable to every ..... continues to innovate and develop new ways to provide advisory services to ...

www.dorsey.com/newsresources/publications/client-alerts/2017/03/sec-guidance-robo-advisers

Mar 6, 2017 ... Rise of the Machines: SEC Issues Guidance on Robo-Advisers ... termed—can meet their obligations under the Investment Advisers Act of 1940 (“Advisers Act”) with limited human interaction. ... of the securities industry, creating new challenges and opportunities for .... Protecting a client's customer base ...

www.usatoday.com/story/money/columnist/powell/2016/04/06/investors-new-fiduciary-rule-protection/82661384

Apr 6, 2016 ... Department of Labor aims to force financial advisers to do what's best for ... Play Video ... breaks down the new fiduciary standards and how it will impact you. ... " By ignoring the advice of the SEC and Congress, the DOL's rule ... for an exemption intended to assure that the customer is adequately protected.

millionairecorner.com/BrowseByQuery.aspx?Page=In%20the%20News

Millionaire Corner provides Client's Ratings of their Investment Advisor; Investors may ... Will New SEC Guidance Force Advisers to Listen to their Customer?

www.proskauer.com/files/News/ad593921-034a-4db9-a665-ee972dc9cdc8/Presentation/NewsAttachment/8c4231b1-c9d2-4ae3-9700-f0a5ede72542/Regulation%20of%20Investment%20Advisers%20by%20the%20US%20Securities%20and%20Exchange%20Commission%20-%20March%202017.pdf

V. How Does an Investment Adviser Register Under the Advisers Act? .................... ...............30 ..... These letters are informal staff advice and do not have the force of law. ... SEC's expertise and the thoroughness evident in its consideration, the ... listing or otherwise lets it be known that he will accept new advisory clients,. 13.

www.ici.org/pdf/25720.pdf

believes this new rule and its related recordkeeping requirements will help level ... Force operated under the premise that mutual fund investment advisers and ... Deliverable #2 – Appendix A is guidance for capturing records required by the SEC's ..... provided the mutual fund's transfer agent information on such customers.

www.investmentnews.com/article/20160509/FEATURE/160509939/the-dol-fiduciary-rule-will-forever-change-financial-advice-and-the

May 9, 2016 ... The idea is that the regulation will stop advisers from putting their own ... offer guidance on 401(k) plan assets, individual retirement accounts or ..... But some will discover the rule will force them to find a new adviser for retirement assets. ... on the SEC to approve a uniform fiduciary standard, something SEC ...

www.kitces.com/blog/best-interests-contract-exemption-bice-and-dol-fiduciary-bic-requirements

Apr 11, 2016 ... New DoL fiduciary requirements for conflicted advisors to follow the Best ... rule will likely ultimately drive the SEC to step up on its fiduciary rule as .... for Advisers to act contrary to the customer's best interests; and ..... guidance with a level of ambiguity that forces firms to shift their ..... Thanks for listening.