Directed Brokerage Goes Down for the CountSep 1, 2004Will Leitch The first target has been hit: Directed brokerage is no more, and 12b-1 fees might be in more danger than had been thought. The SEC's recent ban on the... Hidden Market-TimersSep 1, 2004John Churchill A new study of mutual fund firms' enforcement capabilities affirms what many in the industry have known for some time omnibus accounting practices by... The Big Board Paddles the WaywardSep 1, 2004By Bill Singer It has been said there are few things more dangerous than a wounded beast; the New York Stock Exchange seems hellbent on proving that rule. The NYSE has... No Soft Dollars? A Hard Pill To SwallowAug 1, 2004Will Leitch The SIA Soft Dollars and Institutional Brokerage Conference took aim at a wide range of issues related to soft-dollar payments in the brokerage industry,... The ReformationAug 1, 2004By Will Leitch When the scandal craze that has gripped the securities industry first got its kick in the pants two years ago from Eliot Spitzer and his crew, few in... A Question of ClassJul 1, 2004
Q: My firm encouraged in a documentable way the conversion of A-share mutual funds into a new class that could be held in wrap accounts (and be charged... It's the Advice, StupidJul 1, 2004By Gregg Wirth When Mike DiGirolamo, former head compliance officer at Raymond James Financial, was first contacted by the NASD about how the firm determined whether... Fee-ling GoodJun 1, 2004By Kevin McKinley A recent article in The Wall Street Journal described a probe securities regulators have launched into fee-based accounts. I paid extra attention, because... Employment Issues: Preventative Medicine for the Retail BrokerSep 1, 2003By Richard Roth Arbitration is painful; the practices outlined below are arb "aspirin."... Who Regulates the Regulators?Jan 1, 2003By Bill Singer Badges? We ain't got no badges. We don't need no badges. I don't have to show you any stinking badges. So go the famous lines from The Treasure of the... Regulators: Borrowing From Clients is Legal But FoolishAug 1, 2002By Bill Singer The biggest mistake, one broker found, was lying to his frim-even as he was paying back the money.... No Free RideJun 1, 2002By Bill Singer Consider this: Two years ago you worked for XYZ broker/dealer's Westchester County, N.Y., branch. After a short stint, you moved to another firm, with... If You Can't Do The TimeMay 1, 2002By Bill Singer ...don't do the crime of lying to regulators.... The Father of the BrideApr 1, 2002By Bill Singer The party’s over and the NASD is stuck with a hangover and the tab. Will it seek more broker fines to fill the gap?... Cleaning HouseApr 1, 2002By Dave Sterman The SEC, Congress, industry groups and even companies themselves are suggesting ways to straighten out the regulatory mess and give new gloss to investing.... The Advocate: Raise Your Voices for Post-Enron RegulationMar 1, 2002By T. Sheridan O'Keefe It is critical for our professional survival to restore confidence in the markets. The right kind of regulations can do that.... |
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