Investment Planning - WHEN THE SEC KNOCKS... - Sooner or later, SEC-registered investment advisers can expect a visit from a representative of the commission's Office of Compliance Inspections and Examinations. Here are the Procedures the SEC uses to examine investment advisers. Forewarned is forearmed.
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Journal of accountancy : publication of the American Institute of Certified Public Accountants. - Jersey City, NJ : Inst., ISSN 0021-8448, ZDB-ID 2193590. - Vol. 194.2002, 2, p. 35-40
ARTICLES - Personal Financial Planning - SEC JURISDICTION OVER INVESTMENT ADVICE - CPAs who advise their clients on investment products and services may need to register with the SEC or a state agency. This article offers some guidance on what kind of activity will -- And will not -- Trigger the need to register.
Carroll, Brian, (2001)
Personal Financial Planning - HOW TO PREVENT INVESTMENT ADVISER FRAUD - Under federal law investment advisers are fiduciaries and must disclose all potential conflicts of interest to clients. This article offers a practical approach to complying with these regulations. For CPAs who offer investment advisory services.
Carroll, Brian, (2006)
Personal Financial Planning - THE MUTUAL FUND TRADING SCANDALS - Scandals have changed the way mutual funds operate. In this article the special counsel to the SEC explains how the mutual fund industry got into trouble and the new rules designed to curb future abuses. For CPAs who offer investment advice.
Carroll, Brian, (2004)
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