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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 Advisor November 2003 Marla Brill	Advisors Divided Over Fund Scandals Some think they are isolated cases; others say their faith is being tested.
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.
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.
Investment Advisor March 1, 2011 Melanie Waddell	House, Senate Hearings Next on Fiduciary Industry groups lobby for user fees to fund advisor exams in lieu of an SRO.
Financial Advisor February 2004 Tracey Longo	Facing The Confidence Crisis How you can help clients deal with the mutual fund scandals.
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.
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.
The Motley Fool July 6, 2005 Tom Taulli	Donaldson's Last Stand William Donaldson made his mark on the SEC -- up until his last day in office. Interestingly, even the U.S. Court of Appeals had concerns about the new mutual fund regulations.
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 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 Advisor April 2009 Jeff Schlegel	Fiduciary Fracas People from all corners of the financial services industry are weighing in with their ideas about the future shape of the industry, including thoughts about whether all financial advisors should be held to the fiduciary standard of client care.
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.
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.
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. 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.
Financial Advisor December 2005 Tracey Longo	The Art Of Being Ethical How financial advisors are turning their ethical approach into a marketing advantage.
Financial Planning June 1, 2010 Brian Hamburger	Going for Custody As of March 12, new rules for RIAs require special (and expensive) reports and audits for custodial accounts. Are you ready?
Registered Rep. January 7, 2004	ICI Fires Back on Mutual Fund Fee Issue The Investment Company Institute has responded in kind to a recent study that found that mutual fund investors shoulder exorbitant management fees.
Registered Rep. November 1, 2004 Anne Field	Gunning for College As more investors put their faith in 529 plans, the stakes rise for those who are supposed to be protecting them, and agencies like the NASD and the SEC have jumped into the fray with gusto.
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 Advisor June 2010 Stephen K. Davis	What To Do About The 401(k) How do we bring better investment success to the 401(k)? For one, participants need help from financial advisors.
Financial Advisor July 2006 Tracey Longo	Advisors In The Spotlight A recent Investment Company Institute conference reveals financial advisors are the top source of investors' fund purchases.
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
Investment Advisor May 2009 Melanie Waddell	Danger & Opportunity: The SEC Reformation An exclusive interview with SEC chief Mary Schapiro regarding financial services reforms.
Financial Advisor November 2010 David Lawrence	Back In The Fold? Will the new regulations force independents to return to broker-dealers?
Financial Advisor June 2004 Gary Schneider	Fund Industry Being Forced In Wrong Direction In the aftermath of some of America's biggest scandals in the history of the mutual fund industry, proposed standards are wrongheaded and unnecessary.
Financial Advisor November 2004 Evan Simonoff	Editor's Note Big government gets bigger, especially for the financial advisor. Unfortunately, many regulators barely understand the difference between stockbrokers, financial planners and investment advisors.
Financial Planning September 1, 2006 David Spinar	Even the Playing Field Congress needs to standardize the regulations for investment advisors and broker-dealers.
Investment Advisor June 2007	Fiduciary First of All Letters to the editor: Doing the Fiduciary Wiggle... Corrections... etc.
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. 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 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.
Registered Rep. November 3, 2003 Will Leitch	Fund Scandal Implicates Stockbrokers The mutual fund trading scandals headlines seemed to implicate mutual fund family executives and hedge funds -- everybody but individual retail brokers and brokerage management. But a new survey by the SEC charges brokers with abusive trading of mutual funds.
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 May 2010	Thirty for Thirty Our list of the 30 most influential individuals in and around the planning profession over the last three decades.
Financial Advisor May 2005 Lavine & Liberman	Uncertain Future The Fidelity Executive Forum raises issues about where the money management industry is headed.
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.
BusinessWeek November 17, 2003 Borrus & Dwyer	Funds Need A Radical New Design Recent mutual fund scandals show that fund boards do a poor job of protecting investors. A look at some proposals for restructuring the industry.
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.
BusinessWeek September 27, 2004	"You Cannot Legislate Honesty" Fund manager Robert Olstein, in a candid interview, says the SEC regulators have overstepped the mark.
Investment Advisor July 2010 Melanie Waddell	A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.
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.
CFO May 1, 2004 Roy Harris	Raiding the Returns Hidden costs and high fees eat into 401(k) plan benefits.
Financial Advisor February 2005 Sydney LeBlanc	The "Black Cat" Of Separately Managed Accounts Education can prevent or eliminate myths surrounding managed accounts and help clients take advantage of the benefits they afford.
Financial Advisor October 2010 Ben Mattlin	How To Select Trustees As trusts grow more popular, the need to appoint the right trustees becomes crucial.
Financial Advisor July 2004 Tracey Longo	Can Prudent Practices Save Your Business? A new booklet outlines the steps fiduciaries should follow. Ignore the book at your own peril: It's already been used decisively in two lawsuits against advisors.
The Motley Fool December 11, 2008 Selena Maranjian	Pros Who Make You Poorer Is this the beginning of the end for financial professionals?
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.