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Investment Advisor August 2007 Melanie Waddell	Treasury Calls for Regulatory Overhaul Secretary of the Treasury Henry Paulson is on a mission to reform the U.S. financial services regulatory structure to enhance the nation's global competitiveness.
Insurance & Technology April 3, 2008 Katherine Burger	No Surprises in Insurance Industry's Mixed Reception for Treasury Department's Endorsement of Optional Federal Charter Concerns about competitive advantage inspired the life insurance industry's welcome of the Treasury's call for an optional federal charter as part of broad regulatory reform proposals for financial services.
CFO May 1, 2008 David M. Katz	A New Top Cop for Corporate Finance? Treasury Secretary Paulson mulls over an idea for a new and improved replacement for the SEC.
Investment Advisor May 2008 McBride & Waddell	Seismic Shift The Treasury Secretary floats a regulatory plan that -- if implemented -- will change the financial services world as we know it.
Insurance & Technology June 17, 2009 Anthony O'Donnell	Insurance Industry Reacts to President's Financial Service Regulation Reform Proposals President Obama's proposals include enhanced oversight of the insurance sector and the establishment of an Office of National Insurance.
Registered Rep. November 16, 2007	FPA Elects New President The Financial Planning Association also six new members to its Board of Directors.
Investment Advisor May 2008 Mark Johannessen	Embracing Change on Our Own Terms Given the recent announcement by the Treasury Department of an ambitious reform package for the financial services industry, financial planners have no choice but to prepare for change.
Registered Rep. October 23, 2006 John Churchill	Opulence (and a Wee Bit of Strife) at FPA Confab in Nashville Education and networking were on order at the recent annual Financial Planning Association conference.
Financial Advisor November 2005 Tracey Longo	The Embattled Broker Exemption Rule While advisors talk a good game about their desire to see consumers protected by meaningful regulation, the Financial Planning Association remains the sole litigant in its lawsuit against the Securities and Exchange Commission's so-called Merrill rule.
On Wall Street December 1, 2008 Cheyenne Hopkins	The Obama Agenda: Reforming Regulation The fight for the presidency is over, but the battle over the future of financial services has just begun.
Investment Advisor July 2008 Marlene Y. Satter	One Forward, Two Back? The Department of the Treasury released its Blueprint for a Modernized Financial Regulatory Structure, which sets forth an argument for the need for change in the financial services industry.
Registered Rep. February 1, 2005 John Churchill	A Monster Issue Will the SEC withdraw the Broker-Dealer Exemption, causing reps to back away from adviser status? If so, the impact could cause substantial disruption in the markets.
Investment Advisor August 2008 Melanie Waddell	Wheels of Blueprint In Motion The SEC and the Federal Reserve Board's recent Memorandum of Understanding marks a first step; but Congress says more stringent financial services regulations are warranted.
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.
Financial Advisor October 2004 Evan Simonoff	Editor's Note Back in July when the Financial Planning Association filed a lawsuit against the Securities and Exchange Commission, many advisors could be forgiven for wondering if the FPA was losing its grip on reality.
Investment Advisor August 2006 Bob Clark	Clark at Large: Out of Focus The FPA's Recommendations on Future Regulation needs clarification.
Investment Advisor February 2009 Melanie Waddell	Teaming Up for Change The National Association of Personal Financial Advisors, the Financial Planning Association, and the Certified Financial Planner Board of Standards -- which have joined forces to lobby Congress on financial services reform -- christen themselves the Financial Planning Coalition.
Registered Rep. December 1, 2005 Andrew Osterland	Brokering Advice The essential difference between brokers and registered advisors, say financial planners, is fiduciary duty. The notion that b/ds have a lighter burden of regulation than registered advisors, however, is something the securities industry vigorously disputes.
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.
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.
Investment Advisor December 2007	Changes The Financial Planning Association announced that Richard Salmen of GTrust Financial Partners... New York Life Investment Management appointed David Bedard as senior managing director... etc.
Registered Rep. March 2, 2010 Kristen French	Senate Nears Deal, Consumer Protection At The Fed Circulated Monday by Chris Dodd, Senate banking committee chairman, the latest proposal would house a semi-autonomous consumer protection agency inside of the Federal Reserve, according a story in the Financial Times.
Financial Planning February 1, 2008 Marion Asnes	Editor's Letter The editor speaks out against proposed regulation changes in the Registered Independent Advisory industry.
The Motley Fool October 26, 2009	Ask the U.S. Treasury: A Call for Fools' Questions Financial reform remains center-stage.
Registered Rep. December 14, 2005 David A. Geracioti	NYSE Regulators to Member Firms and Reps: We Are Watching You Broker/dealers had a very strong 2005. But so too did the regulators.
Investment Advisor January 2009 Melanie Waddell	Watch Out. Reform In on the Way As the New Year unfolds, one thing is certain: financial services regulatory reform will be hotly debated in the 111th Congress, and perhaps some reforms will actually be put into place.
Investment Advisor November 2006	FPA Letter to CFP Board This letter documenting concerns over revisions to the Board's Code of Ethics was signed by 21 current and former leaders of the leading professional financial planning organizations.
Investment Advisor June 2010 James J. Green	FPA, Coalition for Financial Planning Remain Upbeat Despite uncertainty over fiduciary standard, optimism reigns within planner groups.
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 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 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.
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.
Financial Planning October 1, 2010 Katherine Reynolds Lewis	Study Harder New Dodd-Frank legislation kick-started two major initiatives that could transform the way financial advice is regulated and for the first time subject financial planning to explicit regulatory oversight.
Investment Advisor October 2010 Melanie Waddell	Obama Calls for End to Some Bush-Era Tax Cuts; Fiduciary Lobbying Continues Some experts see a tax deal in early 2011
Financial Planning May 1, 2008 Elizabeth O'Brien	Regulatory Tussle Independent broker-dealers and the Securities and Exchange Commission have found themselves in a tug-of-war over how best to serve clients when registered representatives depart one firm for another.
The Motley Fool April 14, 2008 Anand Chokkavelu	Why Paulson's Plan Works Saluting the Secretary of the Treasury's proposed overhaul of financial institution regulations.
Financial Planning August 1, 2008 Bob Veres	The Big Regulatory Fix If the same few companies are behind virtually every major financial scandal and meltdown, why are the regulators talking about tightening up on all financial advisors?
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.
Investment Advisor August 2009 Melanie Waddell	Danger & Opportunity: Consumers Take Center Stage of Reform Debate Financial services reform continues to unfold, with two pieces of legislation being sent to Capitol Hill in July aimed at protecting investors.
U.S. Banker October 2007 Karen Krebsbach	Doing the Regulatory Revamp Dance America's bank-regulatory system is once again under the microscope, but for the first time in decades, it is under serious consideration for reorganization.
Investment Advisor November 2006 James J. Green	Teslik Leaves CFP Board Sarah Ball Teslik, who joined the CFP Board of Standards as CEO in 2004 and sparked many changes at the Board, has resigned from the Board to take the newly created position of senior VP of policy and governance at Apache Corp.
Investment Advisor July 2010 Melanie Waddell	A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.
The Motley Fool November 7, 2008 Mac Greer	Fool Video: Obama's Pick for Treasury Secretary Who should President-elect Obama pick as Treasury Secretary? Should JPMorgan Chase CEO Jamie Dimon get the nod? Should Obama stick with current Treasury Secretary Hank Paulson? This video discusses this question.
U.S. Banker May 2008 Karen Krebsbach	Plan Draws Lukewarm Response The Treasury Department's proposal to reorganize regulation of the financial-services marketplace drew mixed reviews.
BusinessWeek January 29, 2009	On the Dole Bank of America, which agreed to buy Merrill Lynch in September, has been a prime beneficiary of the bailout.
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.
Registered Rep. January 1, 2007 John Churchill	60 Seconds with...Nick Nicolette (FPA President, 2007) An interview with the Sterling Financial Planning principal and new president of the Financial Planning Association.
Investment Advisor July 2006	Group Think Starting July 1, NAPFA will launch its "Focus on Fiduciary" campaign... A recent member-wide survey of the FPA found that its members believe that financial planners should be held to a fiduciary standard.... etc.
Registered Rep. July 18, 2007 Halah Touryalai	Can't We All Just Get Along? FPA says FINRA Won't Do for NYSE/NASD It's back to the drawing board, again, for the National Association of Security Dealers. Its new name choice, FINRA, has been called too broad by the Financial Planning Association.
Investment Advisor September 2008 Melanie Waddell	Turf Wars A conversation with former SEC Commissioner Roel Campos about the Treasury's Blueprint for financial services reform.