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Registered Rep.
April 1, 2013
Diana Britton |
The New Face of The Fiduciary Just when the industry thought it didn't have to worry about the DOL, the agency has made it clear that its fiduciary standard is imminent. For registered reps and RIAs alike, it could change the game.   |
Financial Advisor
March 2011
Jeff Schlegel |
Is Uniformity Possible? Broker-dealers expect some changes if a new fiduciary standard is adopted. |
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 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.
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 Advisor
July 2011
Andrew Gluck |
Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance. |
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. |
Financial Advisor
October 2011 |
Frontline News Independent Advisors On The Rise... Uncertain Times For BofA Advisors... Gen Y Good Target For Advisors... etc. |
Financial Advisor
March 2011
Andrew Gluck |
Members Only Good intentions and strict rules may have backfired for the Financial Planning Association at a time of change. |
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 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. |
Financial Advisor
December 2009
Sherri Scordo |
Frontline News Financial sector news: Financial Services Overhaul Getting Closer... McCann Making Mark At UBS... Main Street Securities B-D Now With National Planning... Small B-Ds Could Face Large Audit Costs... more... |
Financial Advisor
February 2010
Sherri Scordo |
Frontline News Financial Services News: Branch Managers Break Away To Independence... Call For Fiduciary Standard Unites Disparate Forces (Sort Of)... Independent Contractor Status Under Review... Retirement Planning Industry To Be A Top Performer In New Decade... more... |
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. |
Financial Advisor
November 2005
Tracey Longo |
The Embattled Broker Exemption Rule While advisors talk a good game about their desire to see consumers protected by meaningful regulation, the Financial Planning Association remains the sole litigant in its lawsuit against the Securities and Exchange Commission's so-called Merrill rule. |
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. |
Registered Rep.
January 16, 2013
Diana Britton |
DOL's Fiduciary Proposal Presents Renewed Threat to Securities Industry SIFMA expects a DOL fiduciary proposal in the second quarter of this year, renewing the industry's concern over the possible legislation, which the organization says is contrary to the SEC's. |
Financial Advisor
November 2008
Gail Liberman |
War Breaks Out For Wirehouse Brokers The economic crisis on Wall Street, among many other things, is causing wirehouse brokers to reconsider the value proposition offered by the giant financial service firms. |
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? |
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
March 1, 2011
Larry Light |
The Tradeoff Registered investment advisors may end up getting to know a new regulator, but the tougher fiduciary standard they live under will also be extended to cover their broker-dealer rivals. |
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. |
Registered Rep.
April 17, 2015
Megan Leonhardt |
DOL Moves Industry Closer to Harmonization The Department of Labor's proposal may represent the first step in a harmonized fiduciary standard by maintaining flexibility of business models. |
Registered Rep.
January 23, 2015
Megan Leonhardt |
SIFMA Questions The Numbers in White House Research on Broker Conflicts Investors could be losing 10 to 15 percent of their potential retirement savings because of conflicted advice from brokers, according to a memo written by White House economic advisors that could galvanize presidential support for new rules governing advisors of ERISA accounts. |
Financial Advisor
November 2009
Jeff Schlegel |
The Great Debate Financial services reform is coming. How will it impact advisors? |
Investment Advisor
May 1, 2011 |
Follow the Leaders: The 2011 IA 25 Announcing the 2011 IA 25 - Fiduciary, behavior, retirement and much more |
Financial Advisor
January 2006
Sydney LeBlanc |
Embracing The F Word US Fiduciary offers a business model that is attracting ultra-high-end advisors who want to be fiduciaries. |
Financial Advisor
November 2009 |
Frontline News Advisor News: Poll on advisor pay... Citi Embracing Fee-Only Model... RIAs Set Record For Repurchasing Their Firms... FINRA Expands Arbitration Pilot Program... SEC Expects To Examine 9% Of RIAs Annually... more... |
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
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.
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? |
Financial Advisor
June 2011
Bruce W. Fraser |
Rebuilding Trust - Part 2 Six leaders in the wealth management continue their discussion of the advisory industry and how new rules and regulations will impact it. |
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. |
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? |
Financial Advisor
November 2008 |
Frontline News News for the Financial Industry: Tumult Could Expand Ranks Of RIAs... M&A Activity Remains Healthy... Independent B-Ds: Don't Tread On Us... Who Has The Most Satisfied Advisors?... The Business Of Serving Business Owners... etc. |
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
August 2006 |
Frontline News SEC To Research Broker Rule... The Affluent Reportedly Less Confident... Schwab Assets Boosted As Webcasts Reach Broker Converts... Space Station Vet To Speak... etc. |
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. |
Investment Advisor
October 2008
Melanie Waddell |
DOL Floats Advice Proposals The Department of Labor recently announced two proposed rules under the Pension Protection Act designed to make investment advice more accessible for millions of Americans in 401(k)-type plans and individual retirement accounts. |
Registered Rep.
October 5, 2009
Kristen French |
Citi Bank Brokerage Converts To All Fees Citigroup announced that it would convert its small North American bank brokerage business completely to a fee-on-assets-based fiduciary advice system, and would stop collecting commissions on stock and fund sales. |
Financial Advisor
February 2005 |
Frontline News Financial Planning Association Dismissive Of SEC Action On Broker Exemption... Brokerages, Funds Await New Regulations... Pape Says Certified Financial Planner Board Will Focus On Accountability... etc. |
Registered Rep.
February 28, 2012
Diana Britton |
Yield of Dreams: FSI to DOL -You're on Your Own Last September, the Department of Labor announced it would repropose its rule on the application of the fiduciary standard to retirement accounts. This was a major coup for the Financial Services Institute, which has been vehemently opposed to the rule. |
Financial Advisor
March 2006 |
Frontline News AST Trust Purchases Capital Trust Co. Of Delaware... Intuit Poised To Release PortfolioMinder... Financial Advisor Plans Top RIA Ranking... Morningstar Workstation Available At TD Ameritrade... Rule Is `First Step'... etc. |
Financial Planning
September 1, 2006
David Spinar |
Even the Playing Field Congress needs to standardize the regulations for investment advisors and broker-dealers. |
Financial Advisor
June 2007 |
Frontline News SEC Won't Appeal Court Decision... Fidelity Offering For RIAs... 12(b)-1 Fees, Advisors' Growing Role, Are Focus At ICI Fund Conference... etc. |
Investment Advisor
March 2008
Bob Clark |
The Empire Strikes Back Wall Street's crafty response to its whipping over the Merrill rule. |
On Wall Street
June 1, 2011 |
The Leaders Speak The most influential leaders in wealth management today expound on evolution, revolution, moving the debate past wirehouse versus independent, and more. |
Financial Advisor
April 2009 |
Frontline News Fiduciary Fracas... LPL Seeing Explosive Recruiting Growth... A Swiss Miss... Millionaire Population Shrinks in '08... Correlation Overpowers Diversification... Another Downturn Casualty: Divorce... |
Financial Advisor
September 2009 |
Frontline News News for the financial services industry: Regulations, Fiduciaries And Other Things... Breakaway Broker Trend Slowing?... Barney Frank Won't Push SRO For Advisors... CFP Board's Proposed New Education Standard... M&A Activity Down, But Not Out... more... |
Investment Advisor
May 2007
Bob Clark |
We Win, Sort Of How the FPA can make the most out of its upset victory over the SEC. |
