Enable images for an optimal experience.

INVESTED IN ADVISORS
FP Regulatory REGULATORY

Online/Mobile Version|Home| Ce Quiz| BD Data|Guides/Supplements|Subscribe|Add to Safe Senders List

May 14, 2013

FOLLOW US:

FBI Tips: Protect Clients From Cybercrimes
Advisors need to be well-versed in cybercrime to protect themselves and their clients. Check out six tips from the FBI.

White Reviewing SEC Settlements Without Guilt Admissions
The U.S. Securities and Exchange Commission is reviewing its practice of settling cases without requiring defendants to admit guilt, the agency’s chairman said today in congressional testimon

SEC Proposes New Rule for Riskiest Money Funds
Securities regulators are reviewing a proposal that would require the riskiest money-market mutual funds to adopt a floating share price, according to a person familiar with the matter.

Bill to Streamline State Advisor Registration Advances
Legislation that would streamline the registration process for broker-dealers and advisors in Florida is one step closer to becoming law, with the state senate following the lower chamber in voting to approve the measure, which now awaits the governor's signature.

SEC’s Bowden to Head Exam Program; di Florio Joins FINRA
The Securities and Exchange Commission named Andrew J. Bowden director of its national exam program, replacing Carlo V. di Florio who is leaving next month to join the Financial Industry Regulatory Authority.

CFPB Seeks Financial Education in Elementary School
The Consumer Financial Protection Bureau is recommending that policymakers implement a nationwide financial education program into grade school as well as standardized tests.

Research Roundup: A Whiff of Confidence
There has always been a strong relationship between P/E multiples and consumer confidence as investors who feel confident are more willing to pay up for future earnings.

Contact Us

Matt Ackermann
matt.ackermann@sourcemedia.com
Online Editor-in-Chief
Phone: 212.803.8711

Mike Schott
michael.schott@sourcemedia.com
Group Publisher
Phone: 212.803.8567

Enable images for an optimal experience.

Videos

How Interest Rates Affect Retirement Planning

Engaging Clients Through Social Media

Coach's Corner: Charitable Planning

How Will You Get Where you Want to Be?

Raymond James Unveils New Advisor Pricing

Slide Shows

8 Things Financial Advisors Should Know About Social Media Compliance

8 Tax Mistakes Advisors Think Accountants Make

8 Things Financial Advisors Shouldn't Do on LinkedIn

5 Ways Advisors Can Help Clients Slash Health Care Costs

12 Advisor Trends That Will Shape the Next Decade

© 2013 SourceMedia. All rights reserved.

You are currently subscribed to FP Regulatory as: #field1#.
Send this Newsletter to a friend: Click here
Unsubscribe from this mailing list: Click here
Update your Profile: Click here
To unsubscribe to other SourceMedia posts contact our Customer Service department at the phone number provided below.

Source Media

SourceMedia
One State Street Plaza, 27th Floor New York, NY 10004
Phone: (800) 221-1809