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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 2004	Problems Cited In Broker-Dealers' Variable Insurance Sales and More The newly released study comes as the NASD is proposing new rules governing the sale of deferred variable annuities... Board Of Standards Increases CFP Certification Fee... Technology Continues To Frustrate Advisors, FPA Study Says... etc.
Registered Rep. March 2, 2006 John Churchill	NASD Promotes Its Online Education Program Called the E-learning Exchange, the NASD created the online education tool for reps and firms last May in order to help securities firms head off compliance and regulatory problems before they start.
Registered Rep. November 5, 2003 Will Leitch	NASD: Brokerages Owe $86M To Investors The summer 2003 scandal involving unpaid breakpoints -- sales-charge discounts that mutual fund companies provide investors who put in a certain amount in a selected fund -- might have been dwarfed by the market-timing scandal, but the SEC and the NASD haven't forgotten about it.
Financial Advisor January 2005	Advisor Emporium CCA Launches Individual Defined Benefit Plan... Triad Advisors Offering ETFs... AIP Unveils Tax-Sensitive Strategy... Financial Profiles Launches Profiles+ Professional v7.5... PowerShares Launches China ETF... etc.
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 2, 2004 Will Leitch	SEC Passes Breakpoint Amendment---With an `Ethics' Twist The Securities and Exchange Commission has issued its long-awaited amendments on breakpoints (sales-charge discounts on mutual funds), and the end result of months of deliberations surprised no one.
Financial Advisor February 2004 Tracey Longo	Facing The Confidence Crisis How you can help clients deal with the mutual fund scandals.
Financial Advisor June 2004 Tracey Longo	Compliance Overload A white-hot regulatory agenda is bedeviling independent broker-dealers in the U.S.
The Motley Fool May 20, 2004 Tim Beyers	American Express Unit in Scandal The broker could be a target of a regulatory inquiry into mutual funds revenue-sharing. How can you tell if your own broker or advisor has a conflict of interest?
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. July 30, 2003 Will Leitch	SIA Says "Me Too" on Sales Fee Investigations Amid the brewing investigations into mutual fund sales practices, the Securities Industry Association came out last week in support of the new Joint NASD/Industry Task Force.
Financial Advisor June 2012 Jeff Schlegel	Taking Flight More advisors are launching funds, but building assets isn't easy.
Financial Advisor November 2009 Jeff Schlegel	The Great Debate Financial services reform is coming. How will it impact advisors?
Financial Advisor August 2004 Tracey Longo	All Aboard Planners and advisors continue to switch independent broker-dealers.
Financial Advisor March 2005 Tracey Longo	The Watchdog Inside Your Firm The SEC is making your chief compliance officer a whistleblower. Advisors' success with regulators in 2005 will depend largely on whether they trip themselves up or are able to create a business model that is better aligned with their clients.
Financial Advisor May 2005 Lavine & Liberman	Uncertain Future The Fidelity Executive Forum raises issues about where the money management industry is headed.
Financial Advisor September 2005 Bruce W. Fraser	How To Survive The SEC Assault Advisors cite a new, more demanding compliance environment. Despite the extra financial and time burden, many advisors feel much better about their businesses, having gone through the compliance process.
Financial Advisor December 2004	Advisor Emporium Estate Planning Software Built For Team Approach... Pacific Life Launches Individual (k) Plan... BNY's Pershing Unit Ranked No. 1... Unit Launched... Oppenheimer Offers Breakpoint Service... New Software...
Financial Advisor April 2004 Tracey Longo	Wanted: Real Disclosure Rules on brokers compensation disclosure are changing---but slowly.
Financial Planning June 1, 2011 Donald Jay Korn	FP 50: Revenue Rising The money stream is flowing again: After two years of stagnant or, worse, shrinking revenue, the 50 largest independent broker-dealers report their annual revenues rebounded last year - significantly in many cases.
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.
Wall Street & Technology March 26, 2004 Jessica Pallay	Product Watch Infrastructure Instructions... Counting Credit... Mending Breakpoints...
BusinessWeek November 10, 2003 Jeffrey M. Laderman	Mutual Funds: What To Do Now Wondering how to cope with the growing scandal? Here are some answers.
Financial Planning October 1, 2012 Scott Wenger	Looking to the Future: Securities America Wants to be a Leader in Retirement Income Distribution The author has a question and answer session with Securities America CEO Jim Nagengast
Financial Advisor December 2010	Frontline News RIAs Transferred To States May Get Dual Exams... Piqued By Peak Oil... The Art Of The Referral... etc.
Financial Advisor July 2004	Commonwealth Offers Retirement Plans For Small Businesses and More Each plan type has no proprietary requirements and is available in both single and multi-fund platforms... NewRiver Launches FundPOINT Desktop... Bear, Stearns System For Advisors... Standard & Poor's Bond Pricing Service... etc.
Registered Rep. January 8, 2003 Will Leitch	NASD: Firms Are Overcharging Clients The NASD, acting on a tip acquired during an investigation, has sent several brokerage firms word that it has discovered brokers are not providing earned discounts to mutual fund investors, therefore overcharging them.
Financial Advisor August 2005 Tracey Longo	Independents Believe Bigger Is Better--And Cheaper Faced with higher costs, broker-dealers are targeting larger advisors.
Financial Advisor August 2006 Tracey Longo	Late Summer Recruiting While the recruiting party will get tougher some day for broker-dealers who cater to independent advisors and reps, for now they are enjoying their competitive advantage: They give brokers and advisors who want to own their own business the chance to do that.
Financial Advisor January 2006 Tracey Longo	Working Smarter, Not Harder As more independent broker-dealers set themselves up as strategic outsourcing partners, they are finding bigger and better firms driven to their door by stagnant or shrinking profit margins and the accelerating compliance melee.
Wall Street & Technology March 2, 2004 Jessica Pallay	Give Me a Break Breakpoints may give investors a break, but Wall Street's CIOs are working overtime to comply with regulators' wishes.
Financial Advisor May 2004	Frontline News Saving for college costs through 529 plans is a strategy that's gotten a lot of attention from advisors and their clients during the past few years. Lately, however, the investment vehicles are undergoing a different type of scrutiny: investigations by regulators.
Registered Rep. April 7, 2005 Kristen French	NASD Advocates More Disclosure, Less Paper Broker/dealers and their reps may get a big break on point-of-sale disclosure if the Securities and Exchange Commission heeds recent NASD advice.
Financial Advisor August 2012 Karen DeMasters	The Great Migration Though they aren't moving as fast as they were a few years ago, advisors are still in play for independent broker-dealers.
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.
Investment Advisor November 2005 Ben Warwick	Build Your Own Frustrated with the other options, a growing number of financial advisors are starting their own mutual funds. Here's how to do it all yourself, or with a partner.
Registered Rep. April 1, 2006 Kevin Burke	Herd Mentality Instead of being the value-adders they're supposed to be, brokers seem to be following the larger herd of investors. A recent survey shows about two-thirds of brokers invest more than half of the asset they manage with a single mutual fund family.
CIO July 1, 2004 Elana Varon	Mutual Benefits To regain investor confidence and improve the bottom line, the mutual fund industry needs to integrate transactions up and down the supply chain.
On Wall Street September 1, 2010 Aarti N. Maharaj	Five Questions With Amy Strong Joining Financial Research Corp. as a research analyst in 2007, she examines the state of the industry and marketing effectiveness.
Investment Advisor May 2009	B/D News & Products News for broker/dealers: U.S. House of Representatives approved legislation that would tie pay to performance at companies that have received TARP funds... Securities and Exchange Commission charged the auditors of Bernard Madoff's broker/dealer firm with securities fraud...
Registered Rep. August 1, 2004 Will Leitch	The Reformation When the scandal craze that has gripped the securities industry first began two years ago, few in the industry recognized how deep it might go.
Registered Rep. February 1, 2003 Will Leitch	NASD Investigates Potential Breakpoint Violations The confusing slew of regulations that have followed on the heels of the Sarbanes-Oxley Act has tapped a strange feeling in brokers: the fear of violating securities rules unwittingly. A recent investigation by the NASD shows their worries are not unfounded.
Financial Planning June 1, 2010 Paul Menchaca	Survivor Island Firms that endured the worst of the financial crisis and lived to tell about it.
Wall Street & Technology August 22, 2005 Atul Seth	Mutual Fund Musts Seven key compliance imperatives that will have a major impact on the mutual fund industry over the next year and suggestions on how firms can meet the challenges posed by the requirements successfully.
Financial Advisor August 2004 Sydney LeBlanc	Independent Broker-Dealers Improving SMA Programs Historically, independent advisors have been forced to sit on the sidelines while wirehouses led the way in products and technology for separately managed accounts. Increasingly, things seem to be changing.
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 July 2009	Upgrades What's going on: Pershing LLC has rolled out its NetX360 technology platform... Kohlberg Kravis Roberts announces an agreement with Fidelity Investments... Vanguard plans to merge funds... Laserfiche introduces Avante... more...
Financial Advisor July 2004 Tracey Longo	Clearing Firms Come Courting With clearing industry players so clearly targeting advisors, competition for advisor business is likely to get even more interesting very soon.
Financial Advisor November 2005 Tracey Longo	All For Advisors Brokerage executives are doing their best to deliver the tools advisors need to move their business to the next level, while still remaining efficient. That includes streamlined technology, investment and rebalancing selections, outsourcing, practice management and business development assistance.