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Financial Advisor March 2008 David Lawrence	A Higher Standard It is incumbent on all financial advisors to acknowledge their potential role as a fiduciary and act accordingly where and when applicable. So, that leads to a question of just what a fiduciary does during a typical day.
Financial Planning September 1, 2010 Trone & Harvey	Sweet Harmony Industry and regulators can feel comfortable that a fiduciary standard need not be cumbersome, but should, when properly crafted, significantly improve how investment decisions are prudently managed.
Financial Advisor December 2009 David Lawrence	Standards Of Care Fiduciary concepts are having a bigger impact on the financial services industry and your practice.
Financial Advisor March 2012 Donald B. Trone	Defining 'Fiduciary' In Three Dimensions It means different things to different advisors, depending on their registered status, experience and background. What is clear is the need to continue to build consensus around what the term means to the industry.
Financial Advisor September 2012 Jeff Schlegel	Not Making The Grade Financial advisors aren't as fiduciary as they should be, a new survey finds.
Financial Advisor January 2012 David Lawrence	Mission Critical How do firms translate fiduciary concepts into their day-to-day operations?
Investment Advisor March 2008 Melanie Waddell	Figuring Out Fiduciary What, exactly, does fiduciary advisor mean? How can an advisor know for sure if he's fulfilling his fiduciary obligations? Are there any real guidelines?
Investment Advisor December 2009	Walking the Fiduciary Line on Retirement Retirement plans and their participants may need to use separate advisors who are separate fiduciaries, devoid of the potential for conflicts.
Financial Planning April 1, 2011 Donald B. Trone	Costly Decisions Many people think a fiduciary must select the lowest-cost service provider or lowest-priced basket of goods and services for clients. Not so.
On Wall Street April 1, 2010 Trone & Harvey	Are The Retirement Waters Now Murkier? A 40-page document of new regulations from the Department of Labor sets out to ease the challenges of offering investment advice to retirement plan participants and to lessen any conflicts of interest.
Financial Planning November 1, 2006 Bob Veres	Fiduciary Fire Index At the start of the new year, the Pension Protection Act will go into effect and expose all over again the fact that, although we all like to talk about fiduciary standards, there really isn't any consistent definition of the term.
The Motley Fool June 22, 2006 Dan Caplinger	Where's My Money? What to do when your fiduciary isn't getting the job done. In any situation involving potential or actual conflict, you need to know your rights. Taking action to enforce your rights is the best way to ensure that you receive the treatment you deserve.
Financial Planning November 1, 2010 Trone & Harvey	The New Rules of the Road The following four regulatory reforms will likely have the most impact on the financial services industry over the next 24 months. Here's a short synopsis of what they will require.
Financial Planning September 1, 2008 Blaine Aikin	New Disclosure Regimen Planners are facing considerable competition from brokers in the arena of retirement plans, and the reality that brokers typically don't work as fiduciaries is a thorn in planners' sides.
CFO Kris Frieswick	Prudent Man With A Plan Most 401(k) reforms before congress don't address a critical source of risk: fiduciary duty.
Financial Planning February 1, 2010 Donald B. Trone	The Practical Fiduciary The steps required to create a fiduciary practice are similar to those of the financial planning process. Here's how to get started.
Registered Rep. October 1, 2006 Ann Therese Palmer	Agent or Fiduciary? Q: I underwent a grueling arbitration hearing this year. One point the complainant's attorney tried to make was that I had acted in a fiduciary capacity... A: The designation "fiduciary" used to mean something special in both the legal and the brokerage worlds...
Investment Advisor January 2007 Ken Ziesenheim	The Other Fiduciary Issue Many members of company retirement plan investment committees are not fully aware of the nature of their fiduciary responsibilities.
Financial Planning January 5, 2008 Elizabeth O'Brien	The New Fiduciaries LPL and Fiduciary360 educate advisors on retirement consulting in the Pension Protection Act of 2006 era.
Financial Advisor October 2009 Kristina Fausti	A Higher Standard It appears that the SEC will remain the primary federal regulator of investment advisors, at least for now.
Financial Advisor March 2011 Jeff Schlegel	Is Uniformity Possible? Broker-dealers expect some changes if a new fiduciary standard is adopted.
On Wall Street January 1, 2011 Steve Garmhausen	DOL: Advice Rules To Get Tougher The Department of Labor is poised to toughen rules for consultants and advisors that serve retirement plans, as past industry practices have fallen under new scrutiny.
On Wall Street December 1, 2009 Mark Astarita	Brokers as Fiduciaries -- Much Ado About Nothing There is a battle cry to place a fiduciary obligation on retail brokers. But the real question is: What difference will it really make?
Registered Rep. April 1, 2007	Confronting the F Word Experts suggest that reps who ultimately become fiduciaries will require additional training. Simply holding various series licenses is probably not going to cut it. There are now more options than just a few years ago.
Registered Rep. July 8, 2010 Michael Stillman	For 401k Advisors, Comp Models Must Change In the short-term, financial advisors will need to adjust their 401(k) fee arrangements. For the long-term, registered reps may find it necessary to work with -- or become -- registered investment advisors.
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.
Financial Advisor July 2004 Tracey Longo	Can Prudent Practices Save Your Business? A new booklet outlines the steps fiduciaries should follow. Ignore the book at your own peril: It's already been used decisively in two lawsuits against advisors.
Registered Rep. June 3, 2010 Kristen French	For Fiduciaries, Fee Monitoring Gets More Scrutiny Advisors who act as fiduciaries have to keep a closer watch over fees and expenses than ever before.
Investment Advisor January 2009 Elizabeth D. Festa	Fixing Fiduciary Failings The financial services world may finally be catching up with the fiduciary standards that Blaine Aiken, CEO of fi360, a Pittsburgh-area based firm that offers education and management support for the investment fiduciary profession, has been espousing for years.
Financial Planning October 2, 2007 Michael Dubis	The Fiduciary Test As a financial planner, are you really on your clients' side? Ask yourself some of these tough questions.
Financial Planning February 1, 2011 Donald B. Trone	12 Steps to the Future If you have never prepared a checklist to evaluate your practice, 2011 is the time to start. You'll need to know your strengths and weaknesses as advisors in what promises to be an interesting year.
Investment Advisor March 2007 Saxon & Breyfogle	DOL Issues Favorable New Guidance on PPA "Investment Advice" Provisions The Department of Labor's Field Assistance Bulletin resolves some of the uncertainties created by the PPA and creates a new option for service providers that wish to provide investment advice without fee offsets or reliance on computer models.
Financial Planning September 1, 2011 Donald B. Trone	Code of Conduct The SEC has done little to define the baseline professional conduct associated with the proposed standard-an advisor's duty of care.
Financial Planning October 1, 2011 Donna Mitchell	Doubling Down When the SEC recommended last January that brokers and investment advisors operate under a uniform fiduciary standard of care when dealing with clients, the decision seemed to validate, at last, what many industry groups and fiduciary advocates had been saying for years.
Registered Rep. April 1, 2013 Diana Britton	The New Face of The Fiduciary Just when the industry thought it didn't have to worry about the DOL, the agency has made it clear that its fiduciary standard is imminent. For registered reps and RIAs alike, it could change the game.
Investment Advisor October 2006 Melanie Waddell	Catching up with... An interview with Tom Grzymala, a former RIA and Accredited Investment Fiduciary Auditor about ensuring those advisors who proffer advice are living up to fiduciary standards.
Financial Advisor July 2012 Donald B. Trone	The Fiduciary-Steward If federal efforts to subject more people to the fiduciary standard lower the bar, advisors who offer a higher level of care may call themselves fiduciary-stewards.
Financial Planning September 1, 2013 Ilana Polyak	For Advisors, a Big 401(k) Opportunity As regulatory scrutiny of plans increases, advisors are in the sweet spot to capture new business.
Financial Planning March 1, 2011 Donald B. Trone	All for One... A uniform fiduciary standard of conduct, coupled with harmonized regulations, should dramatically improve the process for investors.
Financial Planning April 1, 2010 Donald B. Trone	Step One: Analyze Regardless of when a fiduciary standard is implemented and whichever group is assigned to monitor it, one thing is certain: You will need to build an investment management process that meets a higher standard of care.
Financial Planning September 1, 2009 Donald B. Trone	Fiduciary Facts Separating fact from fiction for the fiduciary standard Obama has recommended applying to all advisors providing investment advice.
Investment Advisor November 2006 Thomas D. Giachetti	Defining Fiduciary What is a financial advisor's true fiduciary duty?
Registered Rep. July 15, 2011 Kristen French	SIFMA Wants Fiduciary Standard Governed By Client Contracts Broker/dealer trade group SIFMA fired off the latest round in the ongoing tangle over the fiduciary standard Thursday. The group sent a letter to the SEC that recommends creating for broker/dealers a modified version of the fiduciary standard that currently governs investment advisers.
Registered Rep. January 16, 2013 Diana Britton	DOL's Fiduciary Proposal Presents Renewed Threat to Securities Industry SIFMA expects a DOL fiduciary proposal in the second quarter of this year, renewing the industry's concern over the possible legislation, which the organization says is contrary to the SEC's.
Registered Rep. February 1, 2010 Kristen French	Most Brokers Think Uniform Fiduciary Standard Unlikely Yet most of them also thought it would do good.
Investment Advisor March 1, 2011 Kathleen Mcbride	SEC and the Fiduciary Study: The Process Why the fiduciary standard became such a hot topic for regulators
Financial Planning July 1, 2010 Marion Asnes	Envestnet's Fiduciary Opportunity Bill Crager, president of Envestnet, is not going to wait for Washington to figure out the fate of the fiduciary standard. The way he sees it, the market has already spoken.
Investment Advisor October 2007 Robert F. Keane	Transparency and Respect Full disclosure and a willingness to have the "hard conversations" are the cornerstones of Jim Dew's approach to his clients and the financial planning profession.
Registered Rep. May 28, 2010 Jake Zamansky	Wall Street Will (Again) Kill The Passage of a Fiduciary Standard While the House financial reform bill includes a fiduciary standard for brokers in limited circumstances, I'm fairly certain history will repeat itself and the provision will mysteriously and entirely disappear when the House and Senate reconcile their respective bills.
Financial Planning September 1, 2006 David Spinar	Even the Playing Field Congress needs to standardize the regulations for investment advisors and broker-dealers.