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Registered Rep. March 1, 2006 Kevin Burke	The School of Hard Knocks In mid-March, TIAA-CREF will get an important grade on its efforts to graduate from a niche provider of pension and insurance products to a broad-based money-management giant. It's a pass/fail test.
Registered Rep. November 1, 2005 Lauren Barack	Will Reform Drive Brokers From 529 Sales? Emerging from 529 college savings plan hearings is a proposal for new disclosure guidelines aimed at giving consumers more knowledge about various plan choices at the point of sale. However, these guidelines may drive reps and financial advisors out of the 529 business.
Registered Rep. November 1, 2004 Anne Field	Gunning for College As more investors put their faith in 529 plans, the stakes rise for those who are supposed to be protecting them, and agencies like the NASD and the SEC have jumped into the fray with gusto.
On Wall Street April 1, 2010 Howard J. Stock	Back Office Move Has Advisors Up In Arms -- Some Bolt Questions surround what will happen to BAI clients when Merrill moves their accounts from National Financial to Merrill Lynch.
Registered Rep. September 10, 2004 Anne Field	College Savings Boot Camp in New York The overall message? With only 8 percent of people saving for college having invested in 529 plans, advisors need to better educate their clients about the tax benefits of these plans.
Registered Rep. August 9, 2011 Diana Britton	Insurer-Affiliated Reps Show Increased Interest in Selling Investments Advisors affiliated with insurance companies are not locked into the insurance commission mentality; many of them looking to diversify their sources of revenues with other types of investment products as well as AUM-based fees.
Registered Rep. January 1, 2006 Kevin Burke	Balancing Act Part of the fallout from the regulatory onslaught of the past three years has been a drastic overhaul in how mutual funds are sold. Heading into 2006, the money-management business is entering a new era of price competition and consolidation.
The Motley Fool March 30, 2007 Dan Caplinger	5 Tips to Avoid Bad 529 Plans Saving for college should help your kids, not your broker.
The Motley Fool June 20, 2007 Dan Caplinger	The $12 Billion Problem It's time to stop a hidden fund fee. No one is arguing that financial professionals don't deserve to get paid for their work. But there are big problems with using 12b-1 fees to do it.
Registered Rep. May 1, 2004 Anne Field	Et tu, 529 Plans Both the NASD and the SEC have revealed they are separately investigating yet another area within the financial services sector: 529 college savings plans.
Investment Advisor August 2005 Melanie Waddell	Fill 'er Up The assets in advisor-sold 529 plans are growing by leaps and bounds, just like college tuition costs.
The Motley Fool May 15, 2008 Dan Caplinger	Don't Pay Your Broker for Free Funds No-load funds don't cost a dime to buy -- except from some brokers.
BusinessWeek January 15, 2007 Anne Tergesen	529s Just Might Make The Grade The 529 college savings plans have become more attractive - but do your homework.
The Motley Fool July 19, 2006 Selena Maranjian	Find the Right Broker When it comes to handling your investments, one size doesn't fit all. Shop around.
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...
Registered Rep. November 1, 2003 David A. Gaffen	Is Wall Street Abandoning Main Street? Are the major brokerage firms losing interest in the everyday investor who has been the very foundation of many of its successes?
Registered Rep. April 1, 2006 Kevin Burke	Herd Mentality Instead of being the value-adders they're supposed to be, brokers seem to be following the larger herd of investors. A recent survey shows about two-thirds of brokers invest more than half of the asset they manage with a single mutual fund family.
The Motley Fool November 14, 2006 Selena Maranjian	How Steep Are Some Brokerage Fees? Investors, make sure you do your homework before you choose a broker.
Registered Rep. March 24, 2003 Ross Tucker	Lining Up Behind 529s With the tax benefits of 529 college savings plans set to expire in 2010 several financial services firms have announced the creation of a lobbying group to make sure that Congress does the right thing -- making the tax-free savings programs permanent.
On Wall Street November 1, 2010 Elizabeth Wine	Pumping Cash Into 529 College Savings Plans It's not a great time for investors with college-age children. Tuition and other educational costs are skyrocketing, and 529 savings plans, which allow investors to save tax-free for college, have taken the same bumpy ride as the rest of the stock market.
Financial Planning April 1, 2006 Bob Hirschfeld	College Planning Cross Currents New suitability regulations could slow 529 growth, while prepaid tuition plans are looking more attractive.
Registered Rep. December 1, 2004 John Churchill	If You're a Broker and You Know It As the holiday season approaches, the SEC is getting daily entreaties from registered investment advisors seeking an end to the broker/dealer exemption rule.
Registered Rep. October 1, 2004 Will Leitch	The Rep's Ugly Friend As the industry continues its inexorable march toward "wealth management," advisors have had to add new tools to their workbenches. Among all of them, reps seem to have the most trouble getting comfortable with life insurance.
The Motley Fool September 6, 2006 Dan Caplinger	Fend Off Fund Fees Here are tips on how to avoid unnecessary mutual fund fees and keep the money for yourself.
Registered Rep. September 18, 2006 Kevin Burke	Sun Life Attracts Suitors in Effort to Unload MFS MFS Investment Management, long rumored to be on the auction block due to lagging profit margins, middling performance and increasing regulatory demands, could be mere days away from a blockbuster merger with another large asset-management firm.
BusinessWeek August 16, 2004 Anne Tergesen	The 529 Ate My Tax Break The high fees that some 529 college savings plans charge can substantially erode, or even erase, their tax advantages.
Registered Rep. June 1, 2015 Megan Leonhardt	Compensation Survey 2015: Crunching the Numbers The industry has come a long way in embracing a fee-based business.
Registered Rep. December 1, 2002 David A. Gaffen	Manning the Phones When wirehouses and other major brokerages introduced the notion of call centers a couple of years ago, brokers were suspicious. Although they understood the logic behind the move, it was a difficult adjustment. But call centers are here to stay and brokers are learning to live with them.
The Motley Fool August 2, 2005 Selena Maranjian	Questions to Ask Your Broker You may be surprised at how your broker makes his money. Here are some important questions to ask your broker or financial advisor, as not all financial professionals operate by the same rules.
Registered Rep. February 1, 2011	Poll: Are Advisors Being Pressed to Peddle Bank Products? To what extent do brokers at Merrill Lynch, Wells Fargo Advisors and elsewhere want to sell banking products?
Registered Rep. September 1, 2005 Kristen French	Vanguard to Advisors: Let's Snuggle Now that the fund giant's founder is retired, the company is tinkering with its business model to appeal to registered investment advisors, particularly for its VIPER exchange-traded funds (ETFs).
Registered Rep. March 16, 2012 Kristen French	Wire Houses Minting Fiduciary Advisors -- Or Are They? None of the firms will go on record as to whom specifically in the rank and file is adopting the standard, nor will they provide much detail on what that training looks like.
The Motley Fool October 7, 2004 Robert Brokamp	Financial Predators Does your financial advisor care more about your retirement, or his? Look for a broker with whom you can trust and has beat a relevant benchmark after fees and taxes over a three-year period.
Registered Rep. January 1, 2003 Gaffen & Geracioti	The Future of the Industry The broker has to be a person who can handle every aspect of a client's financial life. The broker must evolve into a kind of chief financial officer for the client -- managing everything from investments to insurance to estate planning to mortgage banking.
BusinessWeek July 31, 2006 Lewis Braham	The Best E-Broker For You The price of a trade is just the start. Here's what you need to know to choose wisely.
The Motley Fool August 13, 2007 Dan Caplinger	Don't Pay Twice for Advice There's nothing inherently wrong with paying for financial advice. But there's a big difference between paying once for a good financial plan versus paying high fees year after year, through good times and bad.
The Motley Fool August 26, 2008 Dan Caplinger	Is Your Broker Robbing You Blind? With many advisors charging fees based on assets under management, there's always a possibility that your advisor will recommend commission-generating investments that aren't the best for you. Although it looks innocent, that amounts to outright theft.
Financial Advisor July 2010 Marla Brill	The Healing Of 529 Plans Conservative investments and lower fees are attracting new clients.
Financial Advisor June 2004 Evan Simonoff	The Next Wave The comments of a panel of four female consumers were illuminating and provided a glimpse of how the financial services business appears from the outside looking in. It was a bleak picture.
Registered Rep. October 1, 2010 John Aidan Byrne	Who Will be Number One Among the Wirehouses? A good old-fashioned Wall Street fight for retail assets -- and a fierce tussle over which firm can call itself the Number One retail wealth management firm on Wall Street -- is brewing.
Registered Rep. June 1, 2005 Kristen French	Fido Attacks! Long a distant second to Charles Schwab in the lucrative business of serving financial advisors, Fidelity is making an aggressive push to close that gap. And some advisors are taking notice.
The Motley Fool January 25, 2008 Bill Barker	Today's Strong Buys: International Edition A lot of people will give you one piece of advice on breaking into international markets. They'll be wrong. Read on to see what our advice is.
The Motley Fool December 8, 2006	Questions to Ask Your Broker Here is some good advice regarding questions you might want to ask your broker before handing over your hard-earned cash. Make sure you get the right answers before you start investing.
Registered Rep. January 31, 2006 Kevin Burke	Merrill Goes to School for a New Fund Name Beginning in May, the company said its U.S. retail products will be offered under the Princeton Portfolio Research & Management brand, affecting about $223 billion in mutual funds and separately managed accounts.
The Motley Fool May 12, 2008 Bill Barker	Today's Strong Buys: International Edition Last year's international stock markets offered returns that dwarfed what the U.S. markets returned. Take a look at some of the most impressive international ETFs of the year.
Registered Rep. May 1, 2006 Kevin Burke	Failure to Launch Last year, Merrill Lynch's deal to buy Advest was regarded as a savvy transaction. Eight months later, with about 100 reps left, the deal math looks considerably worse. But Merrill may soon have an opportunity to see if it can do better.
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.
Entrepreneur June 2003 Scott Bernard Nelson	College Savings 101 Take notes on the pros and cons of 529 plans.
The Motley Fool July 16, 2007 Bill Barker	Today's Strong Buys: International Edition A lot of people will give you one piece of advice on breaking into international markets: Mutual funds. But they're dead wrong.
The Motley Fool January 17, 2007 Bill Barker	Today's Strong Buys: International Edition You certainly want to be diversified into the exceptional international returns of the next decade -- but if history is any indication, brokers as a group simply won't help you find today's reasonably priced global opportunities.