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On Wall Street July 1, 2010 Frances A. McMorris	Confusion Reigns Among Wirehouse Advisors On The Fiduciary Issue With all the frenzy over the call for a universal fiduciary standard for all financial and investment advisors, it appears that those in the wirehouses don't really understand the debate.
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 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, 2010 Trone & Harvey	The New Rules of the Road The following four regulatory reforms will likely have the most impact on the financial services industry over the next 24 months. Here's a short synopsis of what they will require.
Financial Planning July 1, 2010 Marion Asnes	Envestnet's Fiduciary Opportunity Bill Crager, president of Envestnet, is not going to wait for Washington to figure out the fate of the fiduciary standard. The way he sees it, the market has already spoken.
Financial Planning August 1, 2010 Marion Asnes	Now the Fun Begins It's much easier to talk about fiduciary responsibility than it is going to be to walk the walk.
Investment Advisor July 2009 Melanie Waddell	Regulatory Reform Angst It's clear that advisors are worried about the impact of regulatory reform measures.
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.
Financial Advisor March 2012 Donald B. Trone	Defining 'Fiduciary' In Three Dimensions It means different things to different advisors, depending on their registered status, experience and background. What is clear is the need to continue to build consensus around what the term means to the industry.
Investment Advisor July 2010 Melanie Waddell	A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.
On Wall Street July 1, 2012	Five Questions With John Taft John Taft talks about his new book, Stewardship: Lessons Learned from the Lost Culture of Wall Street, and how advisors can help guide the industry toward rebuilding trust.
The Motley Fool September 5, 2006 Dan Caplinger	How to Pick a Financial Advisor If you don't have the time or inclination to manage your finances on your own, it can be extremely beneficial to get help from an outside advisor. By following these basic suggestions, you can find a suitable advisor to keep you on the road to financial stability and independence.
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 Planning July 1, 2010 Marie Swift	What Have You Done For Me Lately? Do your clients understand the true value of what you do? Your best defense may be to make sure that you're articulating the value of the various services you perform.
Financial Planning July 1, 2010 Jeanne Lee	Reform Lite The 1,600-page financial reform bill passed by the Senate in May still doesn't do enough to enhance consumer protections for individual investors, some industry observers say.
Investment Advisor December 2009 Kathleen M. McBride	B/D Briefing: Surprise Broker Sentiment Most appear to support a fiduciary standard.
Financial Advisor August 2009 Roy Diliberto	Transparency: A Model For Our Profession Investment advisers should only have one interest in mind, and that is the individual.
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.
Financial Planning September 1, 2010 Trone & Harvey	Sweet Harmony Industry and regulators can feel comfortable that a fiduciary standard need not be cumbersome, but should, when properly crafted, significantly improve how investment decisions are prudently managed.
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 January 1, 2010 Christopher I. Franklin	New Integrity Advisors must restore integrity and values to the financial services business.
Financial Planning October 1, 2010 Brian Hamburger	Regulation Season A look forward at the real effects of regulatory change - and they could be as unattractive as they are expensive.
On Wall Street September 1, 2012 Elizabeth Wine	Financial Advisors Turn to the 401(k) Market for More Business Advisors look to 401(k) plans as fertile ground for business.
Investment Advisor July 2010 Bob Clark	Clark At Large: Done Deal Even without a mandated fiduciary duty for all who give advice, the cat's out of the bag.
Investment Advisor May 2009	Soapbox: A Modest Proposal for Wealth Managers Advisors should adopt a financial version of the Hippocratic Oath.
Investment Advisor August 2006 Kathleen M. McBride	B/d Briefing: A New Regulatory Framework? In a move that may be the opening salvo in a fight for unified investor protection rules, the SEC is seeking information from potential contractors to conduct a study about how investments and advice are marketed to individual investors.
Financial Planning February 1, 2011 Bob Veres	The Producer's Lament A conversation about the advisory business with a big "Producer" from the 80s.
Registered Rep. July 25, 2011 Lena S. Rizkallah	Are the New Dodd-Frank Regulations Good for the Insurance Business? While the Dodd-Frank Act will impose additional restrictions on previously unregulated areas in the financial industry, it may also set additional limitations in place on the insurance industry, which some advisors view as unnecessary and others beneficial.
The Motley Fool October 30, 2006 Dan Caplinger	Avoid the Boiler Room Some financial advisors know more about sales than they do about investing. Finding good financial advice is tough. Investors with little or no knowledge about their finances are extremely vulnerable to disreputable professionals.
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.
On Wall Street March 1, 2010 Bo Bohanan	Do You Really Want To Be A 401(k) Consultant? It is fairly easy to spot the advantages and opportunities of working in this marketplace. But, not all of the pitfalls are as evident.
Financial Planning January 5, 2008 Elizabeth O'Brien	The New Fiduciaries LPL and Fiduciary360 educate advisors on retirement consulting in the Pension Protection Act of 2006 era.
Financial Planning August 1, 2013 Keith Johnson	How Advisors Can Rebuild Trust Five years after the meltdown, advisors still face a crisis of confidence.
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.
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 February 2010 Bob Clark	Clark at Large: Declaration of Independence Starting with fiduciary duty, I propose standards for a new profession.
Financial Advisor November 2009 Jeff Schlegel	The Great Debate Financial services reform is coming. How will it impact advisors?
Investment Advisor August 2008 James J. Green	Catching up with...Mitch Politzer Even if there has been a sea change in annuities, there's still a lag among advisors in terms of using the products. Mitch Politzer, president and CEO of First Ameritas Life Insurance Corp. of New York, discusses the instruments.
Financial Advisor March 2011 Jeff Schlegel	Is Uniformity Possible? Broker-dealers expect some changes if a new fiduciary standard is adopted.
Investment Advisor August 2010 Janet P. Levaux	Reform's Impact on Advisors, Broker/Dealers, and Banks "This is a tough law that will also have profound effects on the operations and cost structure of most financial services companies and financial markets," said Securities Industry and Financial Markets Association president and CEO Tim Ryan in a statement on June 25.
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.
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 1, 2011 Bob Clark	An Old Dog Learns Some New Tricks Or a funny thing happened on the way to The Dodd-Frank Wall Street Reform Act.
Financial Planning February 1, 2010 Marion Asnes	One Fee to Bind Them In 2009, broker-dealer Capital Analysts introduced a new flat-fee business model. So how's it going?
Financial Planning February 1, 2011 Matt Lynch	Fiduciary Freedom The growing voice of financial advisors demanding to be emancipated from the artificial limitations placed on them by outdated broker-dealers is finally being heard.
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
Financial Advisor December 2009 David Lawrence	Standards Of Care Fiduciary concepts are having a bigger impact on the financial services industry and your practice.
Financial Planning April 1, 2011 John J. Bowen, Jr.	Listen Up! Want to build great long-term relationships with clients, professional partners and centers of influence in your market niche? Here's a secret: Do a lot less talking and lot more listening.
Investment Advisor April 2007 James J. Green	Retirement Planning Balancing Act Being a financial advisor who focuses on selling and servicing corporate 401(k) plans is a matter of balance.
Investment Advisor June 2006 Bob Clark	Clark at Large: Reality Check A good exercise is to periodically examine the things we know to be true and explore why we think so. Here's a list of possible misconceptions financial advisors hold to be true: Client portfolios need international exposure... It doesn't matter what the other advisors do... etc.