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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.
Investment Advisor March 2006 Melanie Waddell	Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away.
Investment Advisor March 2008 Kathleen M. McBride	A Fortified TD Ameritrade There's lots of support for the fiduciary advisor-client relationship at the newly strengthened TD Ameritrade.
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.
Investment Advisor July 2009 Melanie Waddell	Regulatory Reform Angst It's clear that advisors are worried about the impact of regulatory reform measures.
Investment Advisor January 2006 Kathleen M. McBride	Balancing Act The broker/dealer model is changing, spurred by business and regulatory pressures, and reps may stop talking to their clients.
Registered Rep. February 1, 2006 Kristen French	Both Sides Now Brokers who hold dual licenses -- both the Series 7 and Series 65 licenses -- will have to take fiduciary responsibility on some accounts. But they can also sell investments, after they make it crystal clear that they're doing so.
On Wall Street July 1, 2009 Helen Kearney	The 'F' Word Stirs Up Controversy Advisors who fall under the new fiduciary standard, namely investment advisors who run a fee-based business, must always put clients' interests before of their own.
Registered Rep. June 30, 2010 Christina Mucciolo	Clients, though Mostly Satisfied, in the Dark about FA Fees, Says Study Overall advisors and investors are still confused about what the advisors' fiduciary responsibility is exactly.
Investment Advisor March 2009 James J. Green	Catching Up With... Catching Up With Tom Bradley
Financial Planning February 1, 2008 Bob Veres	Death by Regulation The financial planning profession is about to fight for its survival against well-funded opponents. Here are some possible outcomes.
Investment Advisor June 2009 James J. Green	Best of Times, Worst of Times Securities America and Capital Analysts have responded to the financial crisis in quite different ways. But they're also quite similar in how they're proactively changing their business models to help reps and the home office thrive
Registered Rep. August 29, 2014 Diana Britton	One Strike, You're Out When it comes to the world of independent broker/dealers, the Financial Industry Regulatory Authority is cracking down. Its stated 2014 priority is to focus its regulatory firepower on "high-risk" brokers.
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.
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.
Investment Advisor November 2007 Kathleen M. McBride	Migration Time Is repapering accounts for 202(a) the last straw for wirehouse reps?
Investment Advisor July 2010 Melanie Waddell	A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.
Financial Planning December 1, 2012 Joe Russo	Independents Rising: Joe Russo Commentary When we re lumped in with all financial professionals, the value we offer is compromised.
Investment Advisor March 2010 James J. Green	Broker/Dealer Briefing: Independent Broker/Dealers Celebrate Earned Credibility The Financial Services Institute lays out its agenda, starting with preservation of independent contractor status.
Investment Advisor June 2008 McBride & Roberts	The Presidents Speak Recruiting and building margins are top challenges for independent broker/dealers today.
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.
Financial Advisor January 2006 Tracey Longo	Working Smarter, Not Harder As more independent broker-dealers set themselves up as strategic outsourcing partners, they are finding bigger and better firms driven to their door by stagnant or shrinking profit margins and the accelerating compliance melee.
Investment Advisor September 2010 Melanie Waddell	The Playing Field: The Dodd-Frank Reform Bill Afterlife A fiduciary standard for all may crimp RIAs' competitive edge.
Investment Advisor March 2006 James J. Green	Editor's Note: The Limits of Independence Why the independent advisory business is such a wonderful one to be in, and yet such a frustrating one, too.
Registered Rep. August 1, 2006	The Broker-Dealer Exemption: Good or Bad for the Investing Public? (Oy, This Still Hasn't Been Resolved?) True financial advisors -- those who hold Series 65s and Series 66s, and who are fiduciaries -- aren't too happy that Series 7-holders have been able to cast themselves as financial advisors.
Investment Advisor March 2006 Melanie Waddell	The Playing Field: Here, There and Everywhere Dually registered advisors (advisors who are registered with both the SEC and the NASD, and are collecting both fees and commissions) have the best -- and worst -- of both worlds. However, a new study shows when implemented properly, the hybrid model can be very profitable.
Investment Advisor February 2010 Marlene Y. Satter	Broker/Dealer Briefing: New Leader for FSI A short conversation with Mari Buechner, CCO and CEO of Coordinated Capital Securities, and the new chair of the Financial Services Institute.
Registered Rep. March 1, 2008 John Churchill	Fix Advisor Laws! Laws should reflect the fact that the differences between registered reps and registered investment advisors have largely evaporated.
Investment Advisor September 2007 Kathleen M. McBride	Around the Table The leaders of the 2007 Broker/Dealers of the Year speak frankly about their challenges and opportunities.
Investment Advisor February 2008 Melanie Waddell	A Busy Year in Washington Now that the Rand report assessing the advisory and broker/dealer industries has been released, No doubt advisors and brokers will be anticipating any possible regulatory actions that the SEC may take.
Investment Advisor August 2009 James J. Green	Editor's Note: Change Partners Some thoughts from the editor of this publication on the current state of the financial advisory business.
Investment Advisor May 2006	Making the Future Happen The 25 most influential people in and around the investment advisory profession: Ron Roge... Dick Averitt... Tony Batman... Ben Bernanke... etc.
Investment Advisor August 2010 Melanie Waddell	Broker/Dealer Marketing: Finding Their Voice Broker/Dealers are waking up to the new, post-downturn marketing environment. Here are a few of the best ideas.
Investment Advisor May 2007 Kathleen M. McBride	Exemption Vacation "To be, or not to be?" a fiduciary is the question of the hour for broker/dealers.
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.
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.
Investment Advisor June 2009 Russ Diachok	Survival of the Fittest An assessment of who will succeed -- and fail -- among the independent B/D ranks.
Financial Advisor July 2011 Andrew Gluck	Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance.
Financial Planning September 1, 2007 Bob Veres	The Dual Reality The FSI and independent broker-dealer community have become pivotal voices in the profession. What they see in the future might surprise you.
Investment Advisor March 2008 James J. Green	Coming Out Party Only fours years after its inception, the Financial Services Institute has achieved a high level of success as the primary advocacy group for independent broker/dealers. The recent FSI gathering was the broker/dealer group's biggest ever.
Registered Rep. July 29, 2009 Halah Touryalai	AIG Advisor Group Sale Is Close The AIG Advisor Group may finally have found a buyer after nine months of operating in limbo.
Investment Advisor June 2008 Kathleen M. McBride	Independents' Optimism Broker/dealer advisory board members say things are looking up in the industry.
Investment Advisor December 2009 James J. Green	ING Sells Three B/Ds ING agreed to sell three of its U.S. broker/dealers that comprise the ING Advisors Network to Lightyear Capital LLC.
Investment Advisor June 2007 Kathleen M. McBride	Interesting Times Independent broker/dealers find opportunity in the face of changing winds.
Investment Advisor September 2008 Melanie Waddell	Whither the Independent B/D? Securities America's acquisition of Brecek & Young is yet another sign of dwindling independent broker/dealers.
Investment Advisor March 2009 James J. Green	News: A Sense of Resolve? Among RIAs and broker/dealers, the need to move ahead trumps market uncertainty.
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.
Investment Advisor September 2009 Melanie Waddell	Not So Fast Cerulli Associates data suggests there may be fewer wirehouse brokers breaking away.
Registered Rep. December 1, 2006 John Churchill	Of Two Minds An internecine argument at the FPA gets to the heart of one of the industry's more vexing problems: Should brokers be able to position themselves as financial planners?
Registered Rep. September 10, 2003 David A. Gaffen	Existing Clients Want More Advice The good news for reps is that the world doesn't hate you. The bad news is that acquiring clients -- particularly affluent ones -- is getting a lot more tough.