Remember that short story "The Lady or the Tiger?" In it, a man has to choose between two doors. Behind one stands a beautiful woman (whom he'll get to marry) and behind the other is a ferocious tiger (that will rip him to shreds). Choosing a financial planner -- someone who will advise you how to save and invest your money, help you reach financial goals and plan for your financial future -- can be an equally scary prospect.
... Exchange Commission's Investment Adviser Search at www.AdviserInfo.SEC.gov. Some advisers are only...
... Study on Access to Information About Investment Professionals . On January 27, the Securities and ... access to information about investment advisers and broker-dealers. For more information, please s... the next 18-month period: (1) unifying the search results from BrokerCheck and IAPD (Investment Advi...
...SECURITIES AND EXCHANGE COMMISSION. Investment Company Act Release No. 29707; 812-13831. TIAA-CRE...Commission's website by searching for the file number, or an applicant using the Com...Advisors is an investment adviser registered under the. Investment Advisers Act of 1...
Investment fraud is a billion dollar business. These days, it seems every time you turn around, some scheme is being unearthed. Not surprisingly, many of these are simply variations on fraudulent techniques that have been successful in the past. As they say, everything old is new again. The battle against investment fraud has been waging for decades. Enforcement organizations have worked very hard to create tools that can help you recognized and avoid fraud. If you're thinking about getting involved in the futures market, begin your investigation, whether you're checking out a broker or a firm with the Background Affiliation Status Information Center (BASIC), a service offered by National Futures Association (NFA). BASIC includes registration disciplinary information for all current and...
...When you search BASIC for individuals, be sure to look at their em... not all, of the members of the investment adviser community. The Investment Adviser Public Disclosur...
... Study on Access to Information About Investment Professionals. On January 27, the Securities and... access to information about investment advisers and broker-dealers. For more information, please s... the next 18-month period: (1) unifying the search results from BrokerCheck and IAPD (Investment Advi...
WASHINGTON (Reuters) - U.S. securities regulators on Thursday [Jan. 27] called for improvements to help investors conduct background research on financial professionals such as brokers and investment advisers. The recommendations were outlined in a study drafted by staff at the Securities and Exchange Commission. The study, which was required under the Dodd-Frank Wall Street reform law, looks at ways that investors can better access information about financial professionals.
... advisers simultaneously through one online search. Today, investors must go into an online database ...
...) and Domini Social Investments LLC (the ``Adviser'') (collectively, ``Applicants''). DATES: Filing D... via the Commission's Web site by searching for the file number, or an applicant using the Com...
... and enter investment adviser fraud in the search field.) . RESOURCES . AICPA Resources . * AICPA Co...
...Page 63961. the Investment Company Act of 1940 (the ``Act'') and rule 17d-1 u...Advisor, L.P. (the ``Adviser''). DATES: Filing Dates: The application was filed...Commission's Web site by searching for the file number, or an applicant using the Com...
...SECURITIES AND EXCHANGE COMMISSION. Investment Company Act Release No. 29751; 812-13883. Pax Worl...'') and Pax World Management LLC (the ``Adviser'') (collectively,. ``Applicants''). Filing Dates: ...Commission's Web site by searching for the file number, or an applicant using the Com...
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