Web Results

The DOL fiduciary rule will forever change financial advice, and the ...

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 ... what is in the best interests of clients when they offer guidance on 401(k) plan assets, .... The DOL rule will force financial advisers to satisfy the BICE conditions ... With the new rule pushing more IRA accounts into fee-based structures, ...

SEC.gov | The Fund Director in 2016: Keynote Address at the Mutual ...

www.sec.gov/news/speech/chair-white-mutual-fund-directors-forum-3-29-16.html

Mar 29, 2016 ... The Forum is an extremely constructive force for enhancing the ... As you will hear, much is expected of you in your oversight role, but I also fully ... their own employees; instead, they rely on their investment advisers ... They also raise a number of new questions for fund directors related to their oversight of ...

It is Time for Investment Advisers to Join the Conversation About ...

repository.jmls.edu/cgi/viewcontent.cgi?article=1768&context=jitpl

Jan 4, 2012 ... Fraudsters like Anthony Fields “are quick to adapt to new technol- ... percent of investment advisers indicated a plan to increase their use of ... will also examine the SEC‟s current guidance on investment ...... No longer just a fad, social media is an influential force in socie- .... actually listen to their needs.

SEC Task Force to Investigate Non-GAAP Financials | Corporate ...

www.corpcounsel.com/id=1202759028895/SEC-Task-Force-to-Investigate-NonGAAP-Financials

Jun 1, 2016 ... They may hear from a new U.S. Securities and Exchange Commission internal task force. ... how companies are using non-GAAP measures to report their financials, and to ... “Division staff will be incorporating this new guidance into our ... The creation of the SEC task force comes at a time when companies ...

IAA 2015 Investment Adviser Compliance Conference March 5 – 6 ...

www.morganlewis.com/events/~/media/f1ef2f01fd1b4a05b0088e491ffcdb7d.ashx

Aug 30, 2013 ... These changes include the evolution of new categories of sellside participants ... dealers giving “naked” market access to customers, as well as amendments to Regulation SHO that impose ..... In August 2008, the SEC proposed guidance .... can afford to deploy their own highly sophisticated trading tools?

In Case You Missed It - Interesting Items for Corporate Counsel ...

www.stoel.com/in-case-you-missed-it-interesting-items-for

May 11, 2016 ... Twenty-eight law firms issued joint guidance, here, in the aftermath of two court ... The upshot: the SEC will go back to the drawing board to try to fix this .... In crowdfunding news, the first equity crowdfunding platform filed to register ..... to ask their customers to do more than what is required by the SEC rules...

Advisor's Guide To DoL Fiduciary And The New Best ... - Kitces.com

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 ... means the new DoL fiduciary rule will likely ultimately drive the SEC to .... 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 lis...

Report of the Mutual Fund Task on Mutual Fund Distribution - finra

www.finra.org/sites/default/files/Industry/p013690.pdf

NASD staffs, to provide guidance to the SEC as it considers these issues. ... Task Force reviewed the development of multiple class funds and their effect on .... compensation, such as payments from a mutual fund adviser for “shelf space,” are not ... based on the profile will receive the fund's full prospectus with the purchase.

July 31, 2014 The Executive Summary of All The News That Made ...

www.spardata.com/2014-07-31-ComplianceE-News.pdf

Jul 31, 2014 ... In his first recommendation to Congress, new SEC Investor ... are always evaluated by their advertised benefits; not by their actual .... the firm's business lines and customers, but it can also show its compliance failures. ... firms by providing guidance regarding: (1) investment advisers' ..... person listeni...

SEC targets companies who use made-up accounting metrics ...

www.marketwatch.com/story/sec-stepping-up-its-tackling-of-misleading-disclosure-2016-05-31

May 31, 2016 ... SEC looking at issue of non-GAAP metric abuse ... an internal task force to closely review the use of “non-GAAP” numbers and ... comply with the new guidance in their second quarter earnings releases. ... Division staff will be incorporating this new guidance into our review of ... We Want to Hear from You.

More Info

SEC.gov | Outmanned and Outgunned: Fighting on Behalf of ...

www.sec.gov

Apr 16, 2013 ... Listening to the voices of investors and regulators – with a particular focus on .... include an arbitration clause requiring customers to arbitrate their claims in ... The concerns about mandatory pre-dispute arbitration are not new. ... SEC has been, and can continue to be, a powerful force to protect investors.

SEC Roundtable on Investment Adviser Regulatory Issues

www.sec.gov

May 23, 2000 ... The system will help us better monitor advisers to analyze the ... This new pricing of brokerage services is responsive to the best ... that you will feel free to speak out as well as listen; that we will come away ... updating their guidance on how to register as an investment adviser. ...... The customer knows that.

In The News - See Client Ratings of and search for Investment ...

millionairecorner.com

May 10, 2016 ... Republican Dream Team Blog, January 20, 2016 - Does the Sarah ..... Will New SEC Guidance Force Advisers to Listen to their Customer?