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Investment Advisor July 2009 Melanie Waddell	Danger & Opportunity: Bracing for Change It looks to be all but inevitable that the rules for broker/dealers and investment advisors will be harmonized, and that broker/dealers offering investment advice will have to adhere to a fiduciary standard of care.
Investment Advisor July 2010 Melanie Waddell	A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.
Investment Advisor August 2010 Melanie Waddell	Washington Watch: Financial Services Reform Finalized SEC gets fiduciary powers, but lack of self funding may pose trouble
Investment Advisor November 2009 Melanie Waddell	Danger & Opportunity: Healthcare, Financial Services Reform Making Headway Two of the Obama Administration's top priorities to accomplish by year-end -- healthcare and financial services reform -- are well on their way to fruition.
Investment Advisor June 2010 Melanie Waddell	Next Steps for Congressional Action Reconciliation of reform bills looms. Will Schapiro get fiduciary authority she wants?
Investment Advisor April 2010 Melanie Waddell	Washington Watch: The Shape of Reform Begins to Sharpen Dodd's bill calls for SEC study, not a fiduciary standard; advisors await final markup.
Registered Rep. February 17, 2010 Kristen French	Uniform Fiduciary Standard Still A Question Mark The fiduciary issue is not one of the major sticking points in wrangling over legislation; the big issues are banking regulations, systemic risk, credit rating agency reform, derivatives, executive compensation, and the Consumer Protection Agency.
Investment Advisor April 1, 2011	SEC and the Fiduciary Study: Politics and the Fiduciary Standard AdvisorOne Wealth Editor Kate McBride explains the political process under which Dodd Frank was passed, up to the SEC's reports on an SRO and fiduciary standard
Registered Rep. June 24, 2010 Kristen French	Congress Agrees to Fiduciary Standard For Brokers In negotiation over Wall Street reform Thursday, Senator Tim Johnson (D., S.D.) accepted a final counter-offer from the House this afternoon that would give the SEC rulemaking authority to extend the fiduciary duty to brokers who provide investment advice.
Investment Advisor December 2009 Melanie Waddell	Danger & Opportunity: Staggering Toward Reform Investor Protection Act passes with lots of fiduciary-related amendments; action on Dodd not likely until 2010.
Registered Rep. April 27, 2010 Kristen French	Goldman Case Boosts Odds For Fiduciary Standard In Senate Bill The Senate hearing with Goldman Sachs may increase the likelihood that a fiduciary standard for brokers will make it into Senator Christopher Dodd's financial regulatory reform legislation.
Investment Advisor July 1, 2011 Melanie Waddell	Fiduciary D-Day Arrives As the SEC launches into rulemaking, lots of 'thorny issues' will surface.
Registered Rep. May 6, 2010 Kristen French	Washington Goes Crazy For Fiduciary Standard A number of senators are scrambling to get on the fiduciary bandwagon following last weeks' Goldman Sachs hearings.
Financial Planning December 1, 2009 Kristina Fausti	Fiduciary Q and A Most advisors are still not clear on the issues regarding a fiduciary standard. Here are some Qs and As on the subject.
Investment Advisor May 2010 Melanie Waddell	Schapiro Speaks on Fiduciary, 12b-1s In an exclusive interview, the SEC Chairman speaks her mind.
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 January 2010 Melanie Waddell	Congress Reaches Year-End Goal A House-passed bill nixes FINRA's oversight of RIAs and a comprehensive financial services reform bill likely by the end of first quarter.
Investment Advisor August 2009 Bob Clark	Clark at Large: Something About Mary The drive to reregulate financial advice shifted into high gear on June 17, when the Obama Administration released its white paper containing proposals for 21st Century Financial Regulatory Reform, and passes it to SEC chair Mary Shapiro.
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.
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
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.
Registered Rep. March 15, 2010 Kristen French	Dodd Bill Requires Year-Long Study of Fiduciary Issue, SRO Idea, Gives SEC Muscle Banking reform legislation introduced Monday would give the SEC greater enforcement muscle over RIAs, and would require it to conduct a study examining the effectiveness of extending the fiduciary standard to brokers.
Investment Advisor December 2009 Kathleen M. McBride	B/D Briefing: Surprise Broker Sentiment Most appear to support a fiduciary standard.
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.
Investment Advisor March 1, 2011 Melanie Waddell	SEC Fiduciary Rule May Hit by Summer Despite the advisory industry's hopes that the Securities and Exchange Commission would get a quick start on writing a rule to put brokers under the same fiduciary standard as advisors, it looks as though a rulemaking could come by summer.
Investment Advisor May 2009 Melanie Waddell	Danger & Opportunity: The SEC Reformation An exclusive interview with SEC chief Mary Schapiro regarding financial services reforms.
Investment Advisor May 2009	Game Changer Barack Obama tops the 2009 IA 25 -- our seventh annual list of the most influential people in and around the advisory profession.
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 August 2010 Bob Clark	Can't Beat 'Em? Then Stall 'Em Despite the reform bill's ambiguity, a fiduciary standard for all seems likely.
Investment Advisor February 2010 Melanie Waddell	Washington Watch: Fiduciary Wrangling Resumes Groups urge Dodd and Shelby to maintain strong fiduciary language in reform bill.
Registered Rep. May 20, 2010 Kristen French	Senate Nears Vote On Financial Reform, Fiduciary Standard On Hold The Senate voted 60-40 Thursday to end weeks of debate on Christopher Dodd's financial regulatory reform legislation, in what is called a cloture vote. That clears the way for a final vote on the bill within 30 hours.
Registered Rep. March 5, 2010 Kristen French	Washington Not Swayed By Mainstream Media On Fiduciary Standard. What About Clients? Will all the media attention influence brokerage clients? Many have already been migrating to investment advisers who act as fiduciaries on the RIA side of the business.
Registered Rep. June 25, 2010 Kristen French	The Final Wall Street Reform Bill And You After a herculean 20-hours straight of negotiations, Congressional committee members agreed Friday morning to a Wall Street reform package that will be much tougher on the country's banks.
Registered Rep. December 11, 2009 Kristen French	House Passes Regulatory Reform, SRO Up In The Air The Wall Street Reform and Consumer Protection Act of 2009 passed by a narrow margin. But it will still be a long time before the regulatory future for broker/dealers and investment advisers is clear.
Financial Advisor November 2009 Jeff Schlegel	The Great Debate Financial services reform is coming. How will it impact advisors?
Investment Advisor July 2009 Bob Clark	Clark at Large: Reality Check Washington is far more likely to tweak the existing system than to rewrite the investment advisor legislation.
Investment Advisor June 1, 2011 Melanie Waddell	Schapiro Says SEC to Focus in July on Fiduciary, 12b-1 The Commission will look at fund regulation "in tandem" with RIA/BD reform.
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.
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
On Wall Street February 1, 2013 Kenneth Corbin	Regulatory Forecast Bodes Change Advisors could see talks on oversight and a fiduciary standard move forward this year.
Investment Advisor August 2009 Melanie Waddell	Congress Presses Schapiro to Protect Investors While members of Congress praised SEC Chairman Schapiro for acting quickly to institute changes at the agency, lawmakers said more work needs to be done to protect investors.
Investment Advisor March 2009 Melanie Waddell	Reform Is on the Way SEC Chairwoman Mary Schapiro is laying the groundwork for a significantly beefed up enforcement division at the Commission.
Registered Rep. March 11, 2010 Kristen French	Dodd to Introduce Financial Regulatory Overhaul Bill Monday, without Republican Support He's still hopeful that negotiations with Republican Senators will prove successful.
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.
Registered Rep. August 30, 2011 Kristen French	House Plans Hearing on SRO for Advisors for Sept. 13 The subcommittee is expected to review who should be responsible for examining investment advisers.
CFO February 1, 2009 Edward Teach	The SEC under Schapiro Can Mary Schapiro restore investors' confidence in the beleaguered regulator?
Investment Advisor May 1, 2011	More Than Kin, Less Than Kind Legitimate questions raised by Republicans should be answered. The problem is that the incestuous relationship the SEC has with the industry does not allow a frank discussion of what regulatory reform means to the consumer for fear of criticizing the industry's current state.
Investment Advisor August 2009 Robert F. Keane	Fiduciary to the Forefront Industry leaders, associations, regulators, and consumer advocates call for one fiduciary standard for all.
Investment Advisor February 2009 Melanie Waddell	Is Mary What the SEC Needs? The alternative to FINRA overseeing advisors, and what advisors would definitely prefer, is a self-regulatory organization.
Investment Advisor June 2010 Melanie Waddell	FINRA's Ketchum Sees a Fiduciary Future for B/Ds Inappropriate sales of VAs to seniors at top of FINRA regulatory radar.