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Investment Advisor
September 2009
James J. Green
Where Representatives Would Go This year, more than many others, many representatives of broker/dealers are reassessing their options when it comes to with whom, and how, they will affiliate. mark for My Articles similar articles
Investment Advisor
September 2009
James J. Green
How the Representatives Voted The year 2009 marked the 19th time that Investment Advisor asked its readers who are representatives of independent broker/dealers to rank their own B/Ds on 14 discrete categories, along with an overall rating. mark for My Articles similar articles
Investment Advisor
November 2009
James J. Green
FPA's Barry Is Optimistic The fiduciary issue remains central to the Financial Planning Association's lobbying efforts, and it has publicly voiced support for extending the fiduciary standard to the broker community. mark for My Articles similar articles
Investment Advisor
July 2009
Jonathan Henschen
Broker/Dealer Briefing: Which B/D Model Works Best? Advisors typically don't have a clue as to what the profit centers are at broker/dealers and, frankly, the broker/dealers would like to keep it that way. mark for My Articles similar articles
Investment Advisor
March 2009
James J. Green
Editor's Note: For Your Consideration RIAs and broker/dealers are more alike than they are different, and it's always better to merge from strength than weakness. mark for My Articles similar articles
Investment Advisor
May 2009
Groupthink Financial industry news: Financial Planning Association accepting nominations for 2010 Board of Directors... NAVA hires Lee Covington as senior VP... An initiative to educate key legislators on the issues facing the independent B/D community... mark for My Articles similar articles
Investment Advisor
June 2008
Philip Palaveev
The New Model: The Fee-Only Broker/Dealer Independent broker/dealers must tackle head-on the causes of their frustration if they wish to survive. mark for My Articles similar articles
Investment Advisor
September 2009
James J. Green
What Representatives Wish For Representatives tell what products or services they wish their current broker/dealers offered, but don't. mark for My Articles similar articles
Registered Rep.
June 7, 2011
Diana Britton
Advisor Group in Talks to Acquire Smaller B/D Independent broker/dealer network Advisor Group is talking to a number of small and mid-sized broker/dealers that the company would consider purchasing. mark for My Articles similar articles
Investment Advisor
May 2008
Melanie Waddell
Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers. mark for My Articles similar articles
Registered Rep.
February 2, 2006
Kristen French
Brokers Learning to Play by New Rules It's no longer business as usual on Wall Street. Starting yesterday, broker/dealers must follow a new SEC rule that requires them to disclose at certain times that they may not be acting in their clients' best interest. mark for My Articles similar articles
Investment Advisor
September 2008
Eric Schwartz
B/D or RIA? The Case for the Flexible B/D How independent broker/dealers and advisors can thrive by leveraging the trends of the future. mark for My Articles similar articles
Registered Rep.
January 1, 2005
I'm A Broker, You're A Broker At most publicly traded national broker/dealers, about 35 percent of employees are called financial advisors. mark for My Articles similar articles
Investment Advisor
October 2007
James J. Green
A Robust FPA Celebrates Fresh from Senate testimony, FPA President Nicholas Nicolette stresses fiduciary duty, and the vigor of the Financial Planning Association. mark for My Articles similar articles
Investment Advisor
October 2007
K. McBride & K. Stapleton
Birds of a Feather More than ever, the professional associations that cater to financial planners and advisors are having a meaningful impact outside the planning community itself, among consumers, in the courts, and on Capitol Hill. mark for My Articles similar articles
Registered Rep.
March 27, 2006
Kristen French
SEC Targets Investment Traps Set For Seniors The move against the "free lunch," as they are generally called, is part of a larger initiative launched to protect senior citizens from investment scams and unsuitable recommendations. mark for My Articles similar articles
Registered Rep.
October 1, 2004
John Churchill
BrokerAdvisor BrokerAdvisor Let's Call the Whole Thing Off! The Financial Planning Association and some consumer groups are in court in an effort to block brokers from introducing themselves tp prospective clients as finanical advisors or financial consultants. mark for My Articles similar articles
Investment Advisor
February 2008
Melanie Waddell
A Groundbreaker SEC's Rand report, of the broker/dealer and investment advisory industries will dominate the discussion among brokers and advisors in 2008. mark for My Articles similar articles
Registered Rep.
March 30, 2005
John Churchill
House Urges SEC to Adopt Broker-Dealer Exemption Rule At issue, at least as far as financial planners are concerned, is that registered reps are presenting themselves as fiduciaries, when in fact they are brokers with a less-than-fiduciary responsibility to their clients. mark for My Articles similar articles
Registered Rep.
May 24, 2006
Kristen French
Broker Sanctioned for Violation of Patriot Act After nearly a year and a half since the law's passage and after over a dozen brokerage firm audits, the SEC took its first enforcement action against a broker/dealer. Yet, in so doing, the SEC noted that broker/dealers are generally doing a very good job of complying. mark for My Articles similar articles
Registered Rep.
March 30, 2007
John Churchill
Surprise! FPA Wins Lawsuit Against SEC and the Broker-Dealer Exemption Three years after suing the SEC over the controversial "Broker Dealer Exemption" rule, a federal court has ruled that the SEC exceeded its authority in adopting the rule. mark for My Articles similar articles
Investment Advisor
June 2010
James J. Green
Long-Term Progress Reported by Financial Planning Coalition Coalition has met with staff of all 23 members of Senate Banking Committee. mark for My Articles similar articles
Investment Advisor
September 2007
James J. Green
Leading the Way The leaders of the 2007 Broker/Dealers of the Year reflect their reps: optimistic, opinionated professionals whose business savvy is growing in a challenging environment mark for My Articles similar articles
Registered Rep.
September 10, 2007
Kristen French
FPA Helps Firms Comply With B/d Exemption Ruling The Financial Planning Association is making an effort to help brokerage firms and their advisors comply with the D.C. Court of Appeals ruling that killed the broker/dealer exemption and fee-based brokerage accounts. mark for My Articles similar articles
Investment Advisor
June 2008
Robert F. Keane
FPA Focuses on Future Building relationships, exploring possibilities, and establishing a standard of care for financial professionals are items on the FPA's agenda for this year. mark for My Articles similar articles
Investment Advisor
January 2006
Letters: Standards v. Membership Readers respond: While FPA is willing, even anxious to find common ground, FPA simply will not compromise its values or the profession's standards... Thanks for the Memories... etc. mark for My Articles similar articles
Investment Advisor
April 2006
Kathleen M. McBride
Strong Start for FPA Business Solutions Conference The two-day gathering was designed to give members a leg-up in running an "efficient, effective business," in a setting that encourages advisors to interact with each other. mark for My Articles similar articles
Registered Rep.
February 1, 2005
By the Numbers Top 10 Broker/Dealers, by Advisor Headcount: Merrill Lynch... Wachovia... Smith Barney... Morgan Stanley... etc. mark for My Articles similar articles
Financial Planning
June 1, 2005
Harold Evensky
The New 'F' Word A new group would irrefutably link the concept of "fiduciary" to financial advice. mark for My Articles similar articles
Investment Advisor
January 2008
Kathleen M. McBride
Big Brokers and Planning FPA is embracing major firms, reaching out with ways to help captive broker/dealer, bank, and wirehouse executives and their reps to shift part of their firms to an advisory model. mark for My Articles similar articles
Investment Advisor
November 2009
GroupThink Association news: A new universal standard of care to broker/dealers is urged... The Financial Planning Association and Janus Capital Group Inc. announced the winners of the 2009 Financial Frontiers Awards... mark for My Articles similar articles
Financial Planning
December 1, 2011
Katie Kuehner-Hebert
FPA: Let's Get Political From Dodd-Frank to new taxes on professional services, lawmakers are increasingly making and suggesting changes that could dramatically impact planners and their clients. mark for My Articles similar articles
Registered Rep.
January 1, 2005
Mindy Diamond
A Clean Escape, With an Accomplice Brokers tempted to leap at a lucrative job at another firm are often held back by inertia, but in increasing numbers they are finding the powerful force they need to get moving: hungry branch managers. mark for My Articles similar articles
Investment Advisor
July 2007
Jonathan Henschen
B/Ds in the Year 2010 What the future holds for independent broker/dealers: technology... outsourcing... marketing... practice management... succession planning... alternative investments... fees... mark for My Articles similar articles
Registered Rep.
April 6, 2005
John Churchill
SEC Adopts Broker-Dealer Exemption Over the vociferous objections of fee-only financial planners, the SEC voted unanimously to permanently adopt the broker/dealer exemption rule, formerly known as the Merrill Lynch exemption. mark for My Articles similar articles
Investment Advisor
October 2008
James J. Green
Is Consolidation Finally Here? Several recent deals for mid-sized independent broker/dealers raises the question. mark for My Articles similar articles
Investment Advisor
May 2007
Melanie Waddell
Victory for the FPA The U.S. Court of Appeals for the D.C. Circuit overturned the SEC's Merrill rule. mark for My Articles similar articles
Investment Advisor
June 2008
Group Think People and news: Danielle Winchester is named Schwab Research Scholar... Financial Planning Association and McLagan Partners launch a new program... Trish Brambley... Albert "Bud" Schiff... mark for My Articles similar articles
Financial Advisor
June 2012
FPA Chief Marvin Tuttle To Step Down In 2014 Tuttle, 57, announced his retirement in May at the 2012 FPA Retreat in Scottsdale, Ariz. mark for My Articles similar articles
OCC Bulletin
September 5, 2002
Investment Portfolio Credit Risks: Safekeeping Arrangements This guidance alerts banks to the potentially significant credit risks they incur when safekeeping investment portfolio assets with third parties, such as brokers, broker/dealer firms and banks. mark for My Articles similar articles
Registered Rep.
October 1, 2005
John Churchill
I Gotta Get Paid According to a 2005 study, revenue at independent financial advisory firms grew by 25% on average in 2004. mark for My Articles similar articles
Investment Advisor
September 2009
Bob Clark
Clark at Large: These Guys Are Good Did you ever get the haunting feeling that something was going too well? That's how I'm starting to feel about the reregulation of the advisory world, which is part of the Obama Administration's overhaul of the financial services industry. mark for My Articles similar articles
Investment Advisor
May 2007
Group Think The AML Source Tool helps broker/dealers comply with legal and regulatory requirements relating to anti-money laundering... The FPA has a new partner... The American Library Association and the NASD Investor Education Foundation are... etc. mark for My Articles similar articles
Financial Advisor
November 2012
Karen DeMasters
FPA Membership Slide Stabilizes A free fall in the Financial Planning Association's membership over the last few years has stabilized, and the organization's new leaders say they're hopeful a turnaround is in the offing. mark for My Articles similar articles
Financial Advisor
March 2011
Andrew Gluck
Members Only Good intentions and strict rules may have backfired for the Financial Planning Association at a time of change. mark for My Articles similar articles
Registered Rep.
January 3, 2008
Christina Mucciolo
SEC's RAND Study Released The SEC release the results of the RAND study, which examined how broker/dealers and investment advisors market products and services to investors, and how investors understand the differences between investment advisors and broker/dealers. mark for My Articles similar articles
Investment Advisor
December 2006
Kara Stapleton
Briefs The Financial Planning Association endorsed a proposed rule... The CFP Board voted to approve changes to its governance policy... mark for My Articles similar articles
Financial Advisor
March 2011
Evan Simonoff
Challenges Confront FPA Editor's Note: Like many associations, the FPA is not doomed, but it needs to rethink its value proposition. mark for My Articles similar articles
Registered Rep.
December 1, 2004
Mindy Diamond
Packing the Parachute Success in the brokerage industry can be as much about mindset as anything else, so it comes as little surprise that advisors avoid negative thoughts, such as the potential necessity of a quick exit from their practice. mark for My Articles similar articles
Investment Advisor
September 2008
Philip Palaveev
B/D or RIA? How to Decide for Yourself To help make the decision between the registered independent advisor and broker/dealer approach, first ask yourself where you belong. mark for My Articles similar articles