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Financial Advisor September 2012 Donald B. Trone	The Point Of Triangulation The coordinates of a higher professional standard of care include the point where leadership, stewardship and fiduciary governance intersect.
Financial Advisor November 2012 Donald B. Trone	The Point Of Inspiration Financial advisors should take leadership roles in the lives of their clients.
Financial Planning February 1, 2010 Donald B. Trone	The Practical Fiduciary The steps required to create a fiduciary practice are similar to those of the financial planning process. Here's how to get started.
Financial Planning December 1, 2009 Donald B. Trone	Standing on Principle Broker-dealer senior management must move their organizations from a rules-based framework, which requires little standard of care, to a principles-based framework, which requires a high standard of care.
Financial Planning October 1, 2009 Donald B. Trone	Born to Lead What are leadership chracteristics unique to the role of financial advisor?
Financial Advisor July 2012 Donald B. Trone	The Fiduciary-Steward If federal efforts to subject more people to the fiduciary standard lower the bar, advisors who offer a higher level of care may call themselves fiduciary-stewards.
AskMen.com Simon Sinek	Simon Sinek's Logistics Of Leadership We follow those who lead not because we have to, but because we want to. We follow those who lead not for them, but for ourselves.
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 Planning November 1, 2009 Donald B. Trone	Restoring Trust Fiduciary responsibility is based on trust, whether it is formally and legally defined or simply conveyed by the level of confidence one party has in another.
Financial Planning June 1, 2011 Donald B. Trone	Code of Conduct As the SEC engages in the rule-making associated with its proposed uniform fiduciary standard of conduct under the Dodd-Frank Act, it likely will focus its attention on an advisor or broker's duty of loyalty and duty of care.
Financial Planning January 5, 2008 Glenn G. Kautt	Are You Certifiable? As regulators turn up the heat on the planning profession, can you meet the highest fiduciary standards available today?
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 May 2012 Donald B. Trone	Discernment And Right Versus Wrong Reforming the flawed corporate ethos of Goldman Sachs or implementing a fiduciary standard, codes and regulations won't be enough to provide the best outcome.
Investment Advisor June 2010 Ray Sclafani	The Five Types of Leadership for Advisors In tough times, "leader-advisors" step up for clients, colleagues, and peers.
Financial Planning May 1, 2010 Donald B. Trone	Step Two: Strategize As discussions heat up between the SEC and FINRA surrounding a new fiduciary standard, let's take a close look at ways advisors can get ahead of the game.
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 September 2010 Melanie Waddell	The Playing Field: The Dodd-Frank Reform Bill Afterlife A fiduciary standard for all may crimp RIAs' competitive edge.
On Wall Street June 1, 2013 Denise Federer	Leveraging Your Influence Make an impact in the workplace without the CEO title. In order to influence the behavior of your clients and colleagues and gain your desired outcome, you must leverage the power of your leadership role.
Financial Planning November 1, 2011 Laurence Barton	Unintended Consequences Expanding the fiduciary standard is not in the best interest of consumers.
CIO March 1, 2002 Christopher Hoenig	One for All Industry leadership not only promotes the greater good of all, it also helps build great leaders...
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.
Financial Advisor May 2010 Bill Bachrach	What Lower Standards Bring A lack of fiduciary standards for the industry means that as an advisor you have a competitive advantage when you put the client first.
Financial Planning April 1, 2010 Donald B. Trone	Step One: Analyze Regardless of when a fiduciary standard is implemented and whichever group is assigned to monitor it, one thing is certain: You will need to build an investment management process that meets a higher standard of care.
Financial Advisor September 2012 Jeff Schlegel	Not Making The Grade Financial advisors aren't as fiduciary as they should be, a new survey finds.
Job Journal September 18, 2005 Michael Kinsman	Career Pros: Developing Leaders Who Listen Effective leadership requires listening to those who are following you.
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.
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 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.
Registered Rep. August 19, 2009 Christina Mucciolo	Haggling Over The F Word Continues Regulators, consumer advocates and politicians continue to hammer out what it might mean for Series 65 investment advisors and series 7 registered reps to adhere to the new fiduciary standard.
Insurance & Technology October 20, 2009 Chuck Cornelio	Secrets of IT Talent Management: Workforce Risks Worth Taking Sometimes the less obvious candidates are the right ones when it comes to selecting your IT leadership team.
Investment Advisor October 2006 Melanie Waddell	Catching up with... An interview with Tom Grzymala, a former RIA and Accredited Investment Fiduciary Auditor about ensuring those advisors who proffer advice are living up to fiduciary standards.
Registered Rep. March 9, 2007 Christina Mucciolo	What's In a Name? If You Are a Fiduciary, a Lot. But Are CFP Certificants Fiduciaries? Financial planners who hold the Certified Financial Planning designation have been tussling with the CFP Board, which controls the CFP designation, over the designation's ethical standards.
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 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 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.
CIO March 15, 2004 Patricia Wallington	The Joy of Leadership - Total Leadership I am always surprised when people refuse to consider taking on leadership positions. "Too hard," they say. "Too many conflicts, people issues, meetings, bureaucracy, hours." Do we focus so much on the challenges that we miss the real joy that can be experienced in leadership
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 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.
National Defense May 2011 Stew Magnuson	U.S. Government Undermanned When it Comes to Cybersecurity, Army War College Academic Says The federal government does not have enough cyber-experts on its payroll, policies are ill-defined, and there has been a lack of leadership from the Obama administration.
Financial Planning April 1, 2012 John K. Ritter	Fight On There is a major fight going on between planners and regulators about how to define and apply a fiduciary standard. Yet despite the high stakes, it seems that few planning professionals have chosen to join in and make their opinions known.
CIO October 15, 2002 Patricia Wallington	Leadership from Below Leading from below is a high-wire act that requires almost bipolar behavior -- courage and confidence balanced by humility, assertiveness yet deference. How do you uncover the hidden talent in the organization?
The Motley Fool June 6, 2011 Jason Moser	How Great Leaders Beat Bad Bosses The first part of a series of interviews with Rajeev Peshawaria, author of Too Many Bosses, Too Few Leaders.
Registered Rep. October 1, 2006 Ann Therese Palmer	Agent or Fiduciary? Q: I underwent a grueling arbitration hearing this year. One point the complainant's attorney tried to make was that I had acted in a fiduciary capacity... A: The designation "fiduciary" used to mean something special in both the legal and the brokerage worlds...
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 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 February 1, 2011	Five Questions With David Massey The deputy securities administrator for the state of North Carolina, began a one-year term as president of the North American Securities Administrators Association in September.
Investment Advisor July 2010 Melanie Waddell	A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.
Investment Advisor September 2008 Mike Patton	B/D or RIA? The Case for the Registered Investment Advisor After considering the different options, one advisor explains why he opted for the registered independent advisor model.
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 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.