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The Motley Fool March 15, 2005 Rick Aristotle Munarriz	When Brokers Bite Back Schwab is suing TD Waterhouse for running ads that it claims are deceptive, misleading, and false, but the whole industry may enjoy the legal spotlight.
Registered Rep. May 26, 2005 John Churchill	Online Brokerages Bickering TD Waterhouse avoided a lawsuit from Charles Schwab yesterday by issuing a public apology for a negative portrayal of the firm in its ads.
Registered Rep. April 8, 2005 John Churchill	`Merrill Rule' Debate Not Over The SEC unanimously voted to allow Series 7 holders, or registered reps, to position themselves as financial advisors -- with certain caveats. But once again the SEC seemed to hedge its bet. So the debate rages on.
Financial Planning November 1, 2005 Kathy Gevlin	White Paper Almost all of the RIAs surveyed in this poll believe that the new SEC broker-dealer exemption rule, which allows broker-dealers to offer fee-based investment advice without complying with the fiduciary and disclosure standards of the Investment Advisers Act of 1940, is harmful to investors.
Registered Rep. February 1, 2005 John Churchill	A Monster Issue Will the SEC withdraw the Broker-Dealer Exemption, causing reps to back away from adviser status? If so, the impact could cause substantial disruption in the markets.
Financial Planning July 1, 2005 James A. Barnash	Why We're Suing The FPA president explains the lawsuit over the SEC's broker-dealer rule that exempted certain broker-dealers from disclosure standards that apply to investment advisers and most financial planners.
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 April 2004 Tracey Longo	Wanted: Real Disclosure Rules on brokers compensation disclosure are changing---but slowly.
Registered Rep. April 29, 2005 John Churchill	FPA Sues to Stop Broker-Dealer Exemption The Financial Planning Association believes that the SEC rule which allows registered reps to call themselves financial advisors is contrary to law and encourages broker-dealers to engage in self-dealing with their clients without disclosing their conflicts of interest.
Registered Rep. December 5, 2002 Rick Weinberg	Tables Turned on Schwab? Suit claims Schwab, contrary to its ads, was not conflict free Merrill Lynch's David Komansky must be having a laugh. On Tuesday, a suit was filed in Los Angeles Superior Court claiming that Schwab was guilty of running television and other ads that materially mislead investors.
Financial Planning June 1, 2005 Harold Evensky	The New 'F' Word A new group would irrefutably link the concept of "fiduciary" to financial advice.
The Motley Fool June 10, 2010 Dan Caplinger	Is This the Fix for Failed 401(k)s? ETFs are coming soon to a retirement plan near you.
The Motley Fool May 19, 2011 Dan Caplinger	Schwab Joins the 401(k) Wars The discount broker jumps in with an index-only retirement plan.
The Motley Fool June 1, 2011 Amanda B. Kish	Coming Soon to Your 401(k): ETFs Schwab plans to offer ETFs for 401(k).
Registered Rep. April 6, 2005 John Churchill	SEC Adopts Broker-Dealer Exemption Over the vociferous objections of fee-only financial planners, the SEC voted unanimously to permanently adopt the broker/dealer exemption rule, formerly known as the Merrill Lynch exemption.
Registered Rep. April 29, 2005 Kristen French	Raymond James Fined, Drops Fee-Based Brokerage---Will Others Follow? Following the NASD fine of Raymond James for pushing fee-based accounts on the wrong clients, the next question is how the settlement will affect other firms that offer the same accounts, including wirehouse giants Morgan Stanley, Merrill and Smith Barney.
Registered Rep. December 1, 2005 Andrew Osterland	Brokering Advice The essential difference between brokers and registered advisors, say financial planners, is fiduciary duty. The notion that b/ds have a lighter burden of regulation than registered advisors, however, is something the securities industry vigorously disputes.
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.
Investment Advisor June 2007 Melanie Waddell	SEC Won't Appeal Court Ruling The SEC has decided not to appeal the recent ruling which exempted brokers from being subject to regulation as investment advisors in fee-based brokerage accounts, on the basis that the SEC had exceeded its authority under the Investment Advisers Act of 1940.
Registered Rep. March 30, 2007 John Churchill	Surprise! FPA Wins Lawsuit Against SEC and the Broker-Dealer Exemption Three years after suing the SEC over the controversial "Broker Dealer Exemption" rule, a federal court has ruled that the SEC exceeded its authority in adopting the rule.
The Motley Fool April 26, 2011 Dan Caplinger	This Company Wants to Make Your 401(k) Better A new broker initiative seeks to put ETFs in 401(k)s.
Registered Rep. December 1, 2004 John Churchill	If You're a Broker and You Know It As the holiday season approaches, the SEC is getting daily entreaties from registered investment advisors seeking an end to the broker/dealer exemption 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.
Registered Rep. March 12, 2004 John Churchill	Huge Growth in Fee-Based Brokerage Fee-based brokerage showed faster growth than any other segment of managed accounts over the last four years, according to a new report from Cerulli Associates.
Registered Rep. March 30, 2005 John Churchill	House Urges SEC to Adopt Broker-Dealer Exemption Rule At issue, at least as far as financial planners are concerned, is that registered reps are presenting themselves as fiduciaries, when in fact they are brokers with a less-than-fiduciary responsibility to their clients.
Financial Advisor September 2004	Frontline News Schwab Announces Portfolio Center (Centerpiece) Pricing... NAPFA Starts Site For Selling Practices... FPA Challenges Broker-Dealer Exemption... Armstrong Named Fain Award Recipient... Schwab Transitions Retains Valuation Firm... etc.
Registered Rep. October 22, 2002 Rick Weinberg	Merrill to Reps: Go Get 401(k) Business Merrill Lynch advisors are now going to offer participants in Merrill-run retirement plans specific buy and sell recommendations. Indeed, participants may elect to turn over all investment decisions to Merrill advisors.
Registered Rep. November 3, 2004	Broker or Advisor---Who Knows the Difference? More than half of American investors look to brokers for more than just transactional assistance, according to new research, which also finds that investors don't understand the differences between brokers and registered investment advisors.
Financial Planning February 1, 2005	News Digest Sports Consortium Launched... ERISA Training Online... Morningstar IPO Still Coming... Online Seminar Kit Available From Fidelity... etc.
Financial Planning June 1, 2007 Marshall Eckblad	The United Way The FPA's unexpected victory could pave the way to new regulations that cover both brokers and investment advisors.
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. October 1, 2004 Will Leitch	RIAs Kickin' Back Three registered investment advisors were accused by the SEC of accepting cash payments from TD Waterhouse in return for putting client assets with Waterhouse.
The Motley Fool September 24, 2007 Saibal Saha	You Churn, They Earn Effective Oct. 1, a new SEC rule says that a broker-dealer can no longer charge fees for investment advice unless it agrees to act as a registered investment advisor with fiduciary responsibility for its clients.
Financial Planning June 1, 2005	News Digest Raymond James Takes Hit on Fee Accounts... The FPA Fights On... Edelman Financial Bought... Fee Wars Heat Up... Advent Ditches Techfi... Few Funds Charge Contingent Fees... New Protection for IRAs... etc.
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.
Investment Advisor July 1, 2011 Tom Lydon	ETFs At Last: The Future of 401(k)s Exchange-traded funds are beginning to attract greater attention for participant-directed individual account plans.
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.
Investment Advisor March 2010 Vaughan Scully	The Battle for 401(k) Accounts ETFs have only established a small beachhead so far in the 401(k) arena. That may not change any time soon.
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. October 1, 2004 John Churchill	BrokerAdvisor BrokerAdvisor Let's Call the Whole Thing Off! The Financial Planning Association and some consumer groups are in court in an effort to block brokers from introducing themselves tp prospective clients as finanical advisors or financial consultants.
Investment Advisor March 2008 Bob Clark	The Empire Strikes Back Wall Street's crafty response to its whipping over the Merrill rule.
BusinessWeek December 22, 2003 Amy Borrus	Funds: Leaving Little Guys Out In The Cold The SEC's cleanup of mutual funds could shortchange small investors.
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.
The Motley Fool April 15, 2005 Rick Aristotle Munarriz	Seed of Chucky Schwab's first quarter may seem lackluster, but there's more to the numbers than meets the eye. Now would be a good time to take a closer look at Schwab.
Financial Planning July 1, 2006 Marshall Eckblad	Chalk One Up for RIAs According to a recent survey, a majority of investors believe stockbrokers and investment advisers owe the same fiduciary responsibilities to their clients.
The Motley Fool June 3, 2004 Nathan Slaughter	Reinventing Schwab Though Charles Schwab is still the nation's largest discount broker, competition and a changing landscape have forced it to evolve.
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.
The Motley Fool January 10, 2006 Selena Maranjian	Brokers' Booming Business A new survey shows Americans clearly understand the benefits and value of investing in equities to reach their long-term financial goals.
Investment Advisor May 2007 Melanie Waddell	Victory for the FPA The U.S. Court of Appeals for the D.C. Circuit overturned the SEC's Merrill rule.
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.