Articles tagged "Dan Bernstein"
Headline
Publish date
After catching Wall Street red-handed, the SEC is 'coming after' RIAs that fail to track client chats by text, WhatsApp and social media, experts say
The regulator's $1.1 billion in wirehouse fines is a warning to RIAs that not keeping proper records of online chats could paint a bulls eye on their backs as well.
October 4, 2022 at 1:41 AM
How Facebook's unfriendly new privacy strictures are edging RIAs into the social media monster's business-page boonies
Third-party data culling and archiving firms like Hearsay and Smarsh are scrambling for workarounds as the data spigot runs dry and new compliance challenges loom
September 24, 2015 at 6:10 PM
Brian Hamburger hammers the FINRA SRO proposal in a letter
In his muscular style as a lawyer and insider in the regulatory realm, the MarketCounsel principal pulls no punches
June 5, 2012 at 10:53 PM
SEC sends sharp warning to advisors using social media
RIAs have to make sure they don't get 'liked' on popular websites like Facebook
January 6, 2012 at 3:20 PM
The dark side of the 'good' regulatory changes get scrutinized at MarketCounsel Summit 2011
Advisors may get much of what they wish for but in reality it may not be so good
October 17, 2011 at 3:17 AM
Custodians defend their records in having RIA backs in battles for the fiduciary standard and against FINRA takeover
TD Ameritrade has publicly made some regulatory efforts for advisors and other say they mostly do it behind the scenes
November 23, 2010 at 5:39 AM
What advisors should know about the next sweeping change: the switch from SEC oversight to state regulation
It could impose most on advisors spread out across multiple states
