ARTICLES - 2007

 

INVESTOR

Qualified Pension Plan Participants Should Look Forward To Receiving Specific Investment Advice

Securities Regulators Issue Warnings Regarding Energy Stock Scams

Securities Regulator Makes Protection Of Senior/Retiree Investors A High Priority

Exercise Caution In Purchasing Structured Investments, The Latest Hot Product From Wall Street

SEC Approves Rule Increasing Protection For Deferred Variable Annuity Investors

Brokerage Firms Continue To Run Afoul Of Longstanding Requirements For Fee-Based Accounts

SEC Details Efforts To Protect Seniors From Investment Fraud

Securities Regulator Calls For Significant Improvements In The Protection Afforded To Investors Purchasing Municipal Securities

Securities Industry Publication Identifies Current Investor Protection Issues

Regulatory Developments and Recent Activities To Protect Hedge Fund Investors

Securities Regulator Provides Helpful Guidance To Avoid Fraud

Securities Regulator Alerts Investors To Global Market Risks

Court Ruling Declares That Stockbrokers Must Register As Investment Advisers

Employees Warned Of Early Retirement Investment Pitches

Recent Cases Of Customer Abuse By Brokerage Firm Branch Managers Underscore Need For Effective Compliance Function

NYSE Sanction Highlights Remarkable Failure To Supervise Abusive Sales Practices In Customers' Accounts

 

PROFESSIONAL

Defining The Fiduciary's Duty Of Care; What Advisers Need To Know (Or Already Should Know)

Prudent 72(t) Retirement Planning Requires More Than Just Wishful Thinking

SEC's Disciplinary Action Against An Investment Advisory Firm And Its CCO Underscores The Need To Comply With Rules And Regulations

Securities Regulator Issues Important Guidance For Newly-Registered Investment Advisers

SEC's "Compliance Alert" Provides Helpful Guidance To Investment Advisers And Their Attorneys

SEC Details Deficiences Most Commonly Found During Examinations Of Investment Advisors

New York Becomes Unfriendly To Financial Advisers Seeking Damages Caused By Defamation On Their Employment Records

A Primer On The Fiduciary's Duty To Diversify Investments And Hedge Concentrated Stock Portfolios

Examination Study Outline Provides Hepful Roadmap Of Responsibilities Imposed Upon Branch Managers And Sales Supervisors

Fee-Based Accounts Draw Scrutiny; UBS' InsightOne Account Already Subject To Regulatory Action

The "Culture Of Compliance" - As Spoken By The SEC

Securities Industry Group Outlines Best Practices For Supervisors And Compliance Professionals To Protect Investors

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JAMES J. ECCLESTON

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