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Registered Rep. June 1, 2007	The Great Re-Sell How will registered reps re-position themselves with clients who have fee-based brokerage accounts?
BusinessWeek November 19, 2007 Anne Tergesen	Should You Buy from an Adviser? Brokerage firms may have incentives to push securities in their inventories.
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 April 2008	News & Products, April 2008 FINRA has settled cases against five firms... Fidelity Investments has agreed to pay an $8 million penalty... FINRA fined and suspended 16 registered reps of State Farm VP Management Corp. of Bloomington, Illinois... etc.
Investment Advisor June 2006 Kathleen M. McBride	Stretched For broker/dealers who are already stressed, dually registered advisors are a challenge being met in varied ways.
Financial Planning December 1, 2006	On the Job Executive Appointments: AXA Distributors in New York has named Kirby John Noel as the company's national sales manager... Bill Carey has left his post as president of the Fidelity Registered Investment Advisor Group... etc.
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.
Registered Rep. December 10, 2003 David A. Gaffen	Securities Revenues Fall in Third Quarter Securities firms showed profits of $3.0 billion in the third quarter of 2003, a 45 percent decline from the second quarter, according to the Securities Industry Association. A significant drop in trading revenue was responsible for the profit hit.
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...
Financial Planning November 1, 2006 Daniel B. Moisand	Keep Standards High Financial planning is surprisingly under-regulated. The rules that do exist apply primarily to subset disciplines. As a result, all planners are regulated but no one really regulates planning.
Registered Rep. October 1, 2002 David A. Geracioti	Outgrowing the Series 7? Registered investment advisors must take the Series 65 exam. As the line between brokers and financial advisors blurs, what responsibilities do brokers that dispense advice and collect a fee based on assets have?
Registered Rep. May 17, 2007 Halah Touryalai	Massachusetts Enforces Rules On Use of Senior Designations The state's Securities Division adopted the nation's first regulation requiring advisors to advertise only accredited credentials, or credentials that can clearly demonstrate that they call for meaningful expertise, when offering financial advice to elderly clients.
The Motley Fool December 14, 2010 Dayana Yochim	How to Tell Your Advisor's Real Agenda This four-step background check will reveal whether you're about to get sound advice, or advice that just sounds good.
Registered Rep. August 1, 2005	Maybe It Was the TeePee Building Exercise Commonwealth Financial Network was recently named the best place to work in the state of Massachusetts by the Boston Business Journal.
Financial Planning May 1, 2006 Marianne Czernin	Don't Let Simple Things Trip You Up! Financial professionals must take the time to make sure they understand what the various regulatory organizations require them to do before they actually do it. They shouldn't go it alone, or they could find themselves in the same situations as these reps.
Registered Rep. May 1, 2007	The Great Reckoning Whatever the specific business impact the Merrill Lynch ruling may have, many see the return to pre-1999 rules as a chance for the brokerage industry, which has long avoided fiduciary duty for business and regulatory reasons, to overcome those obstacles and embrace it.
Investment Advisor April 1, 2009 Robert F. Keane	Her Road to Independence Debra Brede didn't set out to be an investment manager. She was going to be a doctor and took a job in the financial services industry just to find out what to do with all the money she and her husband (a dentist) were going to make.
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.
The Motley Fool July 21, 2005	Varieties of Financial Advisors If you're in the market for a financial advisor, you've probably been confused by all the different credentials that various pros have. To help you decipher those fancy clusters of letters embossed on letterheads, we spell out the most common -- and not-so-common -- credentials here.
Investment Advisor September 2007 Kathleen M. McBride	A Trend Confirmed? Advisory fees overtake commission revenue at Commonwealth. So what does this mean for the independent broker/dealer industry? Will other firms soon reach the point at which fee revenue dominates?
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. April 8, 2005 John Churchill	`Merrill Rule' Debate Not Over The SEC unanimously voted to allow Series 7 holders, or registered reps, to position themselves as financial advisors -- with certain caveats. But once again the SEC seemed to hedge its bet. So the debate rages on.
Financial Planning September 1, 2006 David Spinar	Even the Playing Field Congress needs to standardize the regulations for investment advisors and broker-dealers.
Registered Rep. October 1, 2006 Kristen French	Cold Call: Jeff Gerson What is the view from your office window today?... How did you get your first job in the securities industry?... etc.
Investment Advisor September 2010 Bob Clark	Clark at Large: Time to Represent, Advisor Leaders! Advisors can play a powerful role in the SEC's fiduciary deliberations, if they can get their leaders to lead.
On Wall Street January 1, 2011 Alan J. Foxman	Keeping Current Investment advisors write in for some advice concerning state and federal regulations.
Registered Rep. August 19, 2009 Christina Mucciolo	Haggling Over The F Word Continues Regulators, consumer advocates and politicians continue to hammer out what it might mean for Series 65 investment advisors and series 7 registered reps to adhere to the new fiduciary standard.
Investment Advisor May 2010 Bob Clark	Clark at Large: Hope and Change Hope is waning for a fiduciary standard for brokers. But the battle's not over yet.
On Wall Street February 1, 2011	Five Questions With David Massey The deputy securities administrator for the state of North Carolina, began a one-year term as president of the North American Securities Administrators Association in September.
Registered Rep. October 20, 2006	Growing Pains AS tenant-in-common properties continue to flood the market, the industry is clearly working to boost demand for its product. One goal is to bring more licensed broker/dealers to the table. Another option is to broaden the target client base.
Investment Advisor April 2009 Robert F. Keane	The Long View Advisors are looking for lessons in the market's past to find solutions to today's problems.
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.
On Wall Street August 1, 2013 Alan J. Foxman	Legal Expert Discusses Commission Contracts Our legal expert discusses how to make sure you re getting your due in commissions.
Investment Advisor February 2007 Thomas D. Giachetti	When Should You Register? Should an investment advisor with $30 million of "assets under management" register with the SEC? It depends on whether the advisor has "qualifying" assets under management.
Registered Rep. August 29, 2006 Kristen French	Pru Agrees to $600 Million Market-Timing Settlement Prudential Equity Group admitted to criminal wrongdoing in connection with the market-timing practices of a number of its brokers between 1999 and June, 2003.
Financial Planning April 1, 2008 Stacy Schultz	Growing RIAs A new study from Fidelity Investments found that registered investment advisory firms have grown their assets under management an average of 55% over the past three years.
Financial Planning September 1, 2009 Donna Mitchell	Roame on RIAs Conversations about change in the registered investment advisory space are constant these days, thanks to volatile markets, new products and demographic shifts. What sort of future will these changes create for the industry?
Investment Advisor June 2008 Melanie Waddell	On a Mission A conversation with Kevin Keller, in which he promises that his second year as the CFP Board CEO will be even more fruitful than his first.
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.
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?
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?
The Motley Fool April 30, 2010 Dayana Yochim	4 Questions Only the Best Money Pros Can Answer How to find an advisor who gives sound advice, not advice that just sounds good.
Financial Advisor May 2010 Bill Bachrach	What Lower Standards Bring A lack of fiduciary standards for the industry means that as an advisor you have a competitive advantage when you put the client first.
The Motley Fool May 3, 2005 Dayana Yochim	When to Downsize Your Pro Good, affordable financial help is so hard to find these days. You should settle for nothing less.
The Motley Fool September 24, 2007 Saibal Saha	You Churn, They Earn Effective Oct. 1, a new SEC rule says that a broker-dealer can no longer charge fees for investment advice unless it agrees to act as a registered investment advisor with fiduciary responsibility for its clients.
Investment Advisor March 2007 Melanie Waddell	States' Rights The North American Securities Administrators Association's agenda includes preserving state regulators' authority.
Investment Advisor June 2009 Russ Diachok	Coming to an RIA Near You One of the scenarios arising from the financial crisis and frauds like the one perpetrated by Bernie Madoff will be greater regulation of broker/dealers.
On Wall Street January 1, 2013 Alan J. Foxman	Holding On to a Series 7 Securities License After Leaving a Broker-Dealer Our legal expert explains how to keep a Series 7 license fresh after moving from a broker-dealer.
Investment Advisor January 2010 Bob Clark	Clark at Large: The Riddle of the CFP Board Have you ever wondered what those folks at the Certified Financial Planning Board are thinking?
Investment Advisor October 2005	Letters: Get Off it, Already A broker might act like a fiduciary, but he is not allowed to call himself one... The Question's Been Answered... Corrections...