Similar Articles

Browse Main Topics:

Business
Computers & Electronics
Education & Reference
Entertainment & Leisure
Family & Home
Finance & Investment
Health
Internet
Pets & Animals
Science & Technology
Society, Politics & Culture
Sports & Recreation

Similar Articles

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 May 1, 2011 Kathleen McBride	SEC and the Fiduciary Study: Where Do We Go From Here? It's not whether to extend fiduciary duty, but how to extend it
Financial Planning October 1, 2013 Bob Veres	Wish List: 27 Changes That Would Help Advisors In which we make a few modest requests for the health of the profession as well as the financial services industry.
Financial Advisor October 2010 Scott A. MacKillop	One Standard, Period The debate over the fiduciary standard should be about clients - and it would be over in a heartbeat if it were.
Financial Planning June 1, 2007 Bob Veres	Victory, for Now Brokerage firms have little choice but to adapt to a world in which their traditional service -- clearing trades and executing transactions -- has become "solely incidental" to the increasingly valuable business of providing advice.
Financial Planning May 1, 2011 Bob Veres	To the World of 2020 I'm writing this column to help you address the issue on the minds of investors and consumers everywhere in your future day and age: How can we finally fix the regulatory system after the latest traumatic events shook the markets to their core?
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 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 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.
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.
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.
Financial Planning December 1, 2009 Harold Evensky	Clients First It is imperative that an honest, universal fiduciary standard incorporate basic principles designed to protect clients -- not brokers, advisors, or their employers.
Financial Planning August 1, 2009 Bob Veres	A Swiftly Tilting Planet How will brokers and financial advisors fare in the government's battle to regulate the securities industry?
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.
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 Planning March 1, 2011 Bob Veres	Gold Into Straw In mid-January, the SEC released its "Study on Investment Advisers and Broker-Dealers" to Congress. Analyzing the study provides an insightful look into how the SEC views the "harmonization" of two different regulatory structures.
Financial Planning September 1, 2006 David Spinar	Even the Playing Field Congress needs to standardize the regulations for investment advisors and broker-dealers.
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.
Financial Planning June 1, 2008 Bob Veres	The Plan This is an interim report on the market share erosion experienced by our Wirehouse ("Member") firms versus "fiduciary" and "consumer-focused" financial planners.
Financial Advisor May 2006 Andrew Gluck	New Rule Causes Software Schizophrenia New financial software programs for advisors reflect the difference between fiduciary and suitability requirements.
Investment Advisor February 1, 2011 Melanie Waddell	2011: The Year the Advisors' Playing Field Fundamentally Changes All eyes this year will be focused on the exchanges that will ensue between lawmakers and the Securities and Exchange Commission regarding putting brokers under a fiduciary mandate and appointing a self-regulatory organization.
On Wall Street June 1, 2013	Fiduciary Standard Debate Heats Up As federal regulators move ahead with a pair of rulemaking proceedings that could dramatically reshape the financial advisory industry, advocates of broader fiduciary responsibilities are urging advisors to make their voices heard in Washington.
Investment Advisor July 1, 2011 Bob Clark	If You Want Something Done Right It's beginning to look like the only way Dodd-Frank reregulation is going to turn out well is if RIAs form their own SRO.
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 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.
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.
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.
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
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.
Investment Advisor February 2010 Bob Clark	Clark at Large: Declaration of Independence Starting with fiduciary duty, I propose standards for a new profession.
Financial Planning March 1, 2010 Donna Mitchell	More Plans for All A universal fiduciary standard could be great for consumers, but financial planners may get less benefit than they think.
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
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 September 2005 Dan Danford	The IA Soapbox: Sorry, Bob. They Still Don't Get it There is no such thing as incidental financial advice. Either financial planning is being done properly and in the sole interests of the client (as in fee-only) or it's just being used as a ploy to sell investment products.
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.
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.
Financial Planning November 1, 2012 Bob Veres	Financial Advisors May be Subject to Uniform Rules If we want uniform rules on investing recommendations, why stop at advisors? If Congress and our regulators are indeed serious about protecting the best interests of consumers, then perhaps it's time they took a wider view of financial advice.
Financial Planning March 1, 2008 Bob Veres	Deconstructing Rand A report written by the Rand Corp. will help the SEC's staff decide who should and should not be registered as an registered investment advisor, and to determine whether investors understand the differences between and relationships among broker-dealers and investment advisors.
Investment Advisor July 1, 2011 Melanie Waddell	Fiduciary D-Day Arrives As the SEC launches into rulemaking, lots of 'thorny issues' will surface.
Investment Advisor October 2010 Melanie Waddell	Dissecting the FSI's Position on Fiduciary As a new study finds investors still confused, Financial Services Institute president Dale Brown presents the independent broker/dealer perspective.
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.
On Wall Street March 1, 2011 Lorie Konish	A Uniform Fiduciary Standard May Reduce Investment Choices The fallout from the U.S. Securities and Exchange Commission's recent recommendation of a uniform fiduciary standard rolls on. As dates for hearings hang in the air, so do the possible effects on the wealth management industry.
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.
Financial Advisor December 2007 Sydney LeBlanc	More Options, More Business Independent advisors recently got the opportunity of a lifetime -- the marriage made between fee-based advisory accounts and fiduciary accountability finally made headlines in the SEC repeal of Rule 202.
Registered Rep. March 11, 2009 Christina Mucciolo	Brokers Versus Advisors--SIFMA Wants "Universal," Not Fiduciary, Standard Will the patchwork rules governing the conduct of Series 7 holders and registered investment advisors, a patchwork that confuses the public, finally be sorted out?
Investment Advisor April 2007 John K. Ritter	The CFP Board's Giant Step Forward Presented with an opportunity to help shape the industry into a true profession, the CFP Board of Standards did the right thing and mandated a fiduciary standard for all who provide financial planning services, or any of the material elements of a financial plan.
On Wall Street February 1, 2010	Five Questions with David Tittsworth David Tittsworth has served in all three branches of government and discusses ways to police the advisory business.
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.
Financial Advisor May 2011 Andrew Gluck	Finra Makes Its Move Who regulates financial advisors may shift. Here's a look at the positions various groups are taking on fiduciary standards.
Registered Rep. September 15, 2010 Kristen French	Investors Think Insurance Agents, Brokers Are Fiduciaries Investors believe everyone who provides financial advice is already a fiduciary, according to a survey released Wednesday by a group of investment adviser and consumer protection groups.