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Investment Advisor December 2007 Thomas D. Giachetti	Use Them, but Carefully By all means, place arbitration clauses in IA contracts, but do it right.
Investment Advisor November 2006 Thomas D. Giachetti	Defining Fiduciary What is a financial advisor's true fiduciary duty?
Investment Advisor August 2005 Thomas D. Giachetti	Come Right In Here are some issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners.
Financial Planning October 2, 2007 Jeff Auld	Save 12b-1 Fees Independent reps and smaller clients will suffer if the SEC decides to cut this form of compensation.
Investment Advisor February 2008 Thomas D. Giachetti	Is an IPS the Answer? Investment Policy Statements can be helpful, but remember, longer documents aren't always better.
Investment Advisor November 2007 Thomas D. Giachetti	Confusion and Misinformation Experience has shown us that the presence of hedge clauses will not guarantee that a client will not bring a cause of action against the advisor. When it comes to hedge clauses, specificity is the order of the day.
On Wall Street September 1, 2010 Mark Astarita	Denying Advisors A Legal Forum As part of the Dodd-Frank Wall Street Reform Act, Congress has given the SEC the authority to prohibit or impose conditions upon the use of pre-dispute arbitration agreements by brokerage firms and federally registered investment advisors.
Financial Planning September 1, 2008 Blaine Aikin	New Disclosure Regimen Planners are facing considerable competition from brokers in the arena of retirement plans, and the reality that brokers typically don't work as fiduciaries is a thorn in planners' sides.
Financial Advisor December 2008 Janet Aschkenasy	Who Discloses What? New regulations clarify the duties of qualified retirement plan fiduciaries and advisors.
Financial Planning November 1, 2009 Robert Pozen	Think Twice Congress is seriously debating legislation that would significantly expand the coverage of the Investment Advisers Act, empower the SEC to make rules on advisor compensation and increase the likelihood of lawsuits against advisors.
Financial Planning April 1, 2010 Brian Hamburger	Full Disclosure Protecting client privacy is one of the most important responsibilities of any financial advisor. And it's about to become one of the most time-consuming and highly regulated aspects of the business as well.
Registered Rep. May 1, 2005 Stan Luxenberg	Will 12b-1 Fees No Longer Be? The mutual fund fees known as 12b-1s have morphed into something few envisioned when the SEC created them 25 years ago. With regulators now poised to address that transformation, many reps are sweating about the future of a reliable income stream.
Financial Advisor November 2009 Jeff Schlegel	The Great Debate Financial services reform is coming. How will it impact advisors?
Registered Rep. July 8, 2015 Jerry Gleeson	The New Sheriffs In 2012, more than 2,000 RIA firms who had only known the regulatory scrutiny of the Securities and Exchange Commission were transitioned over to the Wild West of state securities regulators.
Financial Advisor October 2004 Chaplin & Giachetti	Contingency Planning And Rule 206(4)-7 What must a financial advisor do to comply?
Financial Advisor April 2004 David J. Drucker	Living With The Rules How to keep the SEC happy without going out of business.
On Wall Street February 1, 2011 Alan J. Foxman	Reading The Fine Print Advisors write in for legal advice regarding contracts, client lawsuits, non-compete agreements and other concerns.
Registered Rep. June 3, 2010 Kristen French	For Fiduciaries, Fee Monitoring Gets More Scrutiny Advisors who act as fiduciaries have to keep a closer watch over fees and expenses than ever before.
Investment Advisor July 1, 2011 Thomas D. Giachetti	Are You Prepared for a Regulatory Exam? Learn the steps you need to take to prepare for a regulatory exam.
Investment Advisor June 2009 Thomas D. Giachetti	Expert's Corner: Complacency, Risk and the SEC Often advisors become complacent with respect to compliance, but all RIAs must recognize that compliance is an ongoing process requiring the review/update/amendment of regulatory filings, disclosures, and procedures.
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.
On Wall Street June 1, 2010 Mark Astarita	Tilting the Litigation Landscape Against the Financial Industry Current reform proposals could radically alter the broker-client relationship.
Registered Rep. March 1, 2005 Chris O'Leary	The High Cost of Admission To justify their existence in client portfolios, funds of funds need to post double-digit returns in order to really experience some net (read: after-fee) gains. And 2004 didn't deliver on these promises.
Financial Planning April 1, 2011 Donald B. Trone	Costly Decisions Many people think a fiduciary must select the lowest-cost service provider or lowest-priced basket of goods and services for clients. Not so.
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.
Financial Planning January 1, 2007 Mike Suppappola	Compliance Tips Solicitation agreements have been around for decades. These relationships present myriad compliance issues, and advisors should keep in mind the following regulatory requirements.
Registered Rep. April 1, 2006 Kristen French	Your Fees Under the Regulator Microscope Financial advisors had better be able to justify their fees, because regulators have been busy examining fees charged to retail clients.
Investment Advisor April 2008 Melanie Waddell	12b-1 Headed for an Overhaul After nearly a year of silence, the SEC has decided to revamp 12b-1.
Investment Advisor May 1, 2011 Melanie Waddell, AdvisorOne	Fair Play: The Fight Over Rule 206(4)-5 Advisors are confused -- and angry -- over the SEC's new pay-to-play rule
Financial Advisor March 2008 David Lawrence	A Higher Standard It is incumbent on all financial advisors to acknowledge their potential role as a fiduciary and act accordingly where and when applicable. So, that leads to a question of just what a fiduciary does during a typical day.
Registered Rep. February 18, 2004 John Churchill	SEC Puts Forth Mutual Fund Rules Proposals The SEC has put forth three proposals that could drastically change the way mutual funds are sold.
Registered Rep. September 9, 2005 Stan Luxenberg	Imagine 50 Eliot Spitzers When are mutual fund companies charging too much in advisory fees? What constitutes proper disclosure of revenue sharing? And which governmental authority has jurisdiction over these issues?
Financial Planning July 1, 2013 Patrick Sweeny	How to Talk About Your Fees Clients deserve straight answers on the ways they pay for your services.
National Defense May 2006 Stafford & Brody	Regulations Affect Sales Agents, Fees Many firms hire employees or engage sales agents to help secure federal government business. Doing this properly requires compliance with ethics rules that bar contingent fees.
Financial Planning May 1, 2008 Rick Cortese	New Form ADV 2 On March 3, 2008, the SEC proposed amendments to Form ADV Part 2.
Investment Advisor May 2010 David Tittsworth	What a Reinvigorated SEC Will Mean for You The first in a series of occasional commentaries by the executive director of the Investment Adviser Association.
Registered Rep. May 1, 2004 Anne Field	Et tu, 529 Plans Both the NASD and the SEC have revealed they are separately investigating yet another area within the financial services sector: 529 college savings plans.
Financial Advisor September 2010	Frontline News Frontline News: Advisory Industry Faces Talent Shortage... Rule Change Could Crimp Alternative-Oriented '40 Act Funds... FPA Announces Heart Of Financial Planning Award Winners... more...
Investment Advisor February 2007 Melanie Waddell	Clear Road Ahead Commonwealth's retirement platform, Preferred Portfolio Services Retirement Solutions, keeps financial advisors compliant with ERISA and PPA.
Registered Rep. March 1, 2008	Plain English: The Cost of Compliance The SEC voted in February to propose changes to the structure of the Form ADV, the disclosure document that all investment advisors must complete.
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 Advisor November 2012 Jerilyn Klein Bier	No More Secrets New 401(k) fee disclosure rules could generate big opportunities for advisors.
Financial Advisor January 2004 Jay Gould	Washed Up On The Banks Of Denial The SEC has changed its policies regarding anti-fraud consent injunctions. How should investment advisors react?
Financial Advisor July 2008	Frontline News News of interest to the financial community: CFP Board's New Conduct Standards... SEC Examining More RIAs... Advisors Await Word On New Privacy Regulations... First Western Buys Fourth RIA Firm, Doubles Size...etc.
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.
The Motley Fool August 13, 2007 Dan Caplinger	Don't Pay Twice for Advice There's nothing inherently wrong with paying for financial advice. But there's a big difference between paying once for a good financial plan versus paying high fees year after year, through good times and bad.
Investment Advisor January 1, 2011 Mark Tibergien	The Day You Call It A Day The majority of advisors who wish to retire in three years are no more prepared for their exit from the business than those who plan to retire in 10 years.
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 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.
Investment Advisor April 2008 Melanie Waddell	Getting a Handle on 408(b)(2) The new Department of Labor rule will prove more onerous for Broker/Dealers than for Registered Independent Advisors.