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On Wall Street December 1, 2009 Mark Astarita	Brokers as Fiduciaries -- Much Ado About Nothing There is a battle cry to place a fiduciary obligation on retail brokers. But the real question is: What difference will it really make?
Financial Advisor March 2011 Jeff Schlegel	Is Uniformity Possible? Broker-dealers expect some changes if a new fiduciary standard is adopted.
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.
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.
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.
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.
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.
Registered Rep. February 1, 2006 Kristen French	Both Sides Now Brokers who hold dual licenses -- both the Series 7 and Series 65 licenses -- will have to take fiduciary responsibility on some accounts. But they can also sell investments, after they make it crystal clear that they're doing so.
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 November 2006 Thomas D. Giachetti	Defining Fiduciary What is a financial advisor's true fiduciary duty?
Registered Rep. May 7, 2010 Kristen French	Bulk Up On Disclosure, Shock Aborbers Needed, Says Ketchum The industry must move forward to improve the quality and kinds of disclosures firms provide to clients, particularly disclosures about the services provided.
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 October 2010 Bob Clark	The Empire Steps Up The Financial Planning Coalition's letter on the Securities and Exchange Commission's "Study Regarding Obligations of Brokers, Dealers and Investment Advisers" will knock your socks off.
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.
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.
Registered Rep. January 23, 2011 Kristen French	SEC Recommends Strict Fiduciary Standard For Broker/Dealers An SEC study released over the weekend could represent a major push towards a more uniform regulatory framework for the fragmented wealth management business.
Investment Advisor July 2010 Melanie Waddell	A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.
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 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 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. July 15, 2011 Kristen French	SIFMA Wants Fiduciary Standard Governed By Client Contracts Broker/dealer trade group SIFMA fired off the latest round in the ongoing tangle over the fiduciary standard Thursday. The group sent a letter to the SEC that recommends creating for broker/dealers a modified version of the fiduciary standard that currently governs investment advisers.
Investment Advisor August 2009 Bob Clark	Clark at Large: Something About Mary The drive to reregulate financial advice shifted into high gear on June 17, when the Obama Administration released its white paper containing proposals for 21st Century Financial Regulatory Reform, and passes it to SEC chair Mary Shapiro.
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 Advisor November 2009 Jeff Schlegel	The Great Debate Financial services reform is coming. How will it impact advisors?
Financial Advisor December 2005 Harold Evensky	Unintended Consequences Brokers must forego the bells and whistles accompanying much of the current planning software if they wish to avoid having to register as investment advisors; however, that should not prevent them from appropriately using these analytics in arriving at suitable recommendations for their clients.
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 July 1, 2011 Melanie Waddell	Fiduciary D-Day Arrives As the SEC launches into rulemaking, lots of 'thorny issues' will surface.
Financial Advisor July 2011 Andrew Gluck	Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance.
Financial Advisor September 2012 Jeff Schlegel	Not Making The Grade Financial advisors aren't as fiduciary as they should be, a new survey finds.
Registered Rep. June 17, 2009 Christina Mucciolo	The Fiduciary Battle Continues, Now Under Federal Microscope Among other measures, the Obama administration proposed today that the Securities and Exchange Commission require that broker-dealers offering investment advice be held to the fiduciary standard rather than the suitability standard.
Registered Rep. March 9, 2011 Kristen French	Law Students, Mercer Bullard Launch SRO For Investment Advisers Their group would rival FINRA, the self regulatory agency for broker/dealers and currently the leading contender for the job.
Registered Rep. February 2, 2006 Kristen French	Brokers Learning to Play by New Rules It's no longer business as usual on Wall Street. Starting yesterday, broker/dealers must follow a new SEC rule that requires them to disclose at certain times that they may not be acting in their clients' best interest.
Registered Rep. August 30, 2011 Kristen French	House Plans Hearing on SRO for Advisors for Sept. 13 The subcommittee is expected to review who should be responsible for examining investment advisers.
On Wall Street February 1, 2013 Alan J. Foxman	Proposed FINRA Procedures May Let Brokers Expunge Records Advisors may be able to erase mark against them from disputes in which they were not directly named.
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.
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.
Investment Advisor March 1, 2011 Bob Clark	A Study in Flexibility SEC's Study on Investment Advisors and Broker-Dealers leaves too much wiggle room to declare victory yet.
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.
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.
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.
Registered Rep. September 13, 2011 Kristen French	Long Legislative Fight Kicks Off with House Hearing On SRO, Fiduciary Standard Congressman Scott Garrett opened Tuesday's House Financial Services Committee hearing on an SRO for investment advisers and a fiduciary standard for broker/dealers with a threat.
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.
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
Investment Advisor May 2008 Melanie Waddell	Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers.
Investment Advisor February 2009 Melanie Waddell	Is Mary What the SEC Needs? The alternative to FINRA overseeing advisors, and what advisors would definitely prefer, is a self-regulatory organization.
Investment Advisor January 1, 2011 Melanie Waddell	FINRA Jockeys for SRO Spot as SEC Report to Congress Nears The Financial Industry Regulatory Authority is engaged in a full-court press to convince the SEC that it should be the SRO for advisors.
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.
Registered Rep. September 8, 2011 French & Britton	House Proposes Bill That Would Give SROs Oversight of Investment Advisers The bill was trotted out by House Financial Services Committee Chairman Spencer Bacchus in advance of a Sept. 13 hearing to review provisions of Dodd-Frank that govern the regulation of broker/dealers and investment advisers.
Registered Rep. August 29, 2014 Diana Britton	One Strike, You're Out When it comes to the world of independent broker/dealers, the Financial Industry Regulatory Authority is cracking down. Its stated 2014 priority is to focus its regulatory firepower on "high-risk" brokers.
Investment Advisor December 2009 Melanie Waddell	Danger & Opportunity: Staggering Toward Reform Investor Protection Act passes with lots of fiduciary-related amendments; action on Dodd not likely until 2010.