NYSE and NASD Hold Merger TalksAug 21, 2006By Kristen French The NYSE and the NASD are in talks to merge their regulatory operations, MSNBC reported on Monday. A deal could come in the next few months.... The Pension Protection Act of 2006. Hooray!Aug 18, 2006By Halah Touryalai Pension Protection Act of 2006, which President Bush signed into law yesterday, allows Series 7-holders to provide advice to 401(k) plan participants and directs the Secretary of Labor to issue a class exemption for advice provided to IRA holders.... Put It in Writing: Investors Want Arbitrators to Explain Their AwardsAug 16, 2006By Karen Donovan Lawyers who represent investors in securities arbitrations hope that a proposed NASD rule will take effect soon. ... The Pension Legislation’s Big Nod to Charity (and Your Client’s Taxes)Aug 15, 2006By John Churchill The Pension Protection Act (PPA) that Congress passed at the start of the month—and which President Bush is expected to sign into law on Thursday—deals largely with the nation’s ailing pension system. But it also includes a landmark charitable-giving incentive that will help older, wealthy clients give six-figures tax free to their favorite charities.... NYSE Reg to Streamline Arbitration: Proposes One Arbitrator for Cases Under $200,000Aug 9, 2006By Kristen French In an effort to speed up the arbitration process, NYSE Regulation proposed Wednesday that a single public arbitrator decide cases in which compensatory and punitive damages claimed are under $200,000. ... Elderly and Wealthy: What Advisors Can Learn From the Tussle Over Brooke Astor, From Her Health to Her WealthAug 9, 2006By Halah Touryalai Brooke Astor, the famous New York City socialite and philanthropist, reportedly suffers from Alzheimer’s and no longer can comprehend anything of a financial nature, according to news reports.... A.G. Edwards’ Challenge to OT Pay FailsAug 8, 2006By Halah Touryalai The overtime-pay case keeps getting stronger. On July 31, a California court announced that it would not dismiss an overtime-pay case brought against A.G. Edwards under a Depression-era law that was crafted to protect blue-collar workers. ... NYSE Fines A.G. Edwards for Excessive Fees and Failure to SuperviseAug 7, 2006By John Churchill New York Stock Exchange Regulation handed down a $900,000 fine to A.G. Edwards today, marking the regulator’s first fine for abuses in fee-based accounts. The firm was also charged with failure to supervise staff, including one particularly wayward branch manager.... Senate Passes Pension Bill to BushAug 4, 2006By John Churchill The U.S. Senate passed the Pension Protection Act, which lawmakers hope will spur businesses to improve existing employer-sponsored retirement plans, on Thursday. There is also a special gift to financial advisors in the bill, which passed the House last week: The bill allows financial advisors to offer personalized advice to 401(k) plan participants. Until now, all advice had been of a general informational nature.... New Pension LegislationAug 2, 2006By John Churchill Brokerage firms have long managed assets in employer-sponsored retirement accounts, but offering specific investment advice to individual plan participants has always been off-limits to reps. That could change very soon. According to the rules of the Pension Protection Act (PPA), which passed the House last Friday, brokers would have access to this heretofore-unreachable pool of assets in defined-contribution plans, worth an estimated $2 trillion.... The Broker-Dealer Exemption: Good or Bad for the Investing Public? (Oy, This Still Hasn’t Been Resolved?)Aug 1, 2006
Today, the SEC announced that it would officially conduct a study to see if allowing the so-called “Merrill exemption” did in fact confuse retail investors or not. So, the exemption is again being investigated. ... Does The SEC Have It Out For Small Firms?Jul 31, 2006Susan Konig There is a feeling among employees of small broker/dealers that regulators have it out for them. Some small b/ds (defined as fewer than 100 reps) won't go so far as to say regulators want to drive them out of business on purpose, but agree that the net effect of their recent new rules is creating burdens that only bigger firms can handle.... In Ferreting Out Potential Trouble, Technology Is Nice, But BOMs Have to Walk the BeatJul 31, 2006Susan Konig Just how good are branch office managers and OSJs at supervising their FAs? While investor complaints received by the NASD have been climbing since 2002, "failure to supervise" arbitration cases have been falling steadily. ... Managing Your Branch's Alpha DogsJul 31, 2006Susan Konig As any branch manager or OSJ will tell you, being the "head rainmaker" isn't what it used to be, what with the ever-increasing regulatory demands devouring ever more quantities of time and energy. If that weren't enough, many BOMs face yet another hurdle: Dealing with the often-rigorous demands of their branch's top-producing reps.... Are Regional Directors Becoming Obsolete?Jul 31, 2006Susan Konig Today, the regional director is a marked man; it's not necessarily a role poised for extinction, mind you, but their ranks will be seriously culled. At least that's what some analysts and branch managers think (and some hope) is going to happen.... The Beauty of Recruiting in Small MarketsJul 31, 2006Susan Konig Despite ever-increasing compliance issues, recruiting remains the most important focus of any branch manager's job... Wachovia BOMs Distressed by New Open Door to Independent SideJul 31, 2006Susan Konig At a time when the once-coveted job of branch office manager has become an obstacle course of administrative red tape and regulatory stumbling blocks, there may be a new hurdle on the path for branch managers at Wachovia Securities.... Making Intimate Client Events WorkJul 31, 2006Matt Oechsli As with any client contact effort, the purpose needs to be clear. Intimate Client Events have a dual purpose -- to show genuine appreciation to your best clients, and to engage in high-impact Rainmaking activity.... Achieving Strategic IntentJul 31, 2006Matt Oechsli A true Rainmaker approaches every activity and event with strategic intent -- no exception. In addition, a series of steps can be identified for each activity or event to deliberately guide your efforts to achieve your strategic intent.... Team NetworkingJul 31, 2006Matt Oechsli Rainmakers, those who bring in 10 or more million-dollar clients each year, are masters at networking. Rainmakers learn to take networking to a higher level. They are admired for their ability to establish rapport, gain credibility, and earn trust... Quarterly Team Performance ReviewsJul 31, 2006Matt Oechsli What made the team experience significantly rewarding for our survey respondents were six factors that produced high performance, not the factors related to team dynamics. It's a simple formula: improved team performance flows out of a hunger for high performance.... Team Member Performance ReviewsJul 31, 2006Matt Oechsli If I focus only on improving overall team performance, can I really expect every individual's performance to improve as well?... Closing Performance GapsJul 31, 2006Matt Oechsli In it's basic form, improvement is the process by which we close performance gaps in order to achieve desired results. The "what" to be improved is performance. Improvement is a performance issue, not a results issue.... Process OverkillJul 31, 2006Matt Oechsli Control is just one aspect of the performance equation; results centering around increasing assets revenue is another.... You Too Can Provide Personalized ServiceJul 31, 2006Matt Oechsli there are very specific things you can do, and my purpose in this issue of Practice Management is to share three strategies our clients have related to us. ...
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