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Investment Advisor
May 2007
Bob Clark |
We Win, Sort Of How the FPA can make the most out of its upset victory over the SEC.   |
Registered Rep.
July 1, 2006
John Churchill |
Blotter SEC Tackles Wachovia Insider... Supervisory Meltdown... Market Timing Geeks... |
Financial Planning
November 1, 2006
Daniel B. Moisand |
Keep Standards High Financial planning is surprisingly under-regulated. The rules that do exist apply primarily to subset disciplines. As a result, all planners are regulated but no one really regulates planning. |
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
May 2010
Bob Clark |
Clark at Large: Hope and Change Hope is waning for a fiduciary standard for brokers. But the battle's not over yet. |
Financial Advisor
July 2011
Andrew Gluck |
Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance. |
Financial Planning
October 1, 2006
Elizabeth O'Brien |
The Fiduciary Fracas Debate and controversy over the elusive standard could be just what the industry needs. |
Investment Advisor
October 2010
Melanie Waddell |
Obama Calls for End to Some Bush-Era Tax Cuts; Fiduciary Lobbying Continues Some experts see a tax deal in early 2011 |
Investment Advisor
September 2010
Melanie Waddell |
Washington Watch: Industry Heeds SEC's Call for Comments SEC flooded with comments on fiduciary standard; 'fiduciary forum' on September 24. |
Investment Advisor
August 2005
Bob Clark |
Clark at Large: Why NAPFA Matters Can the future of financial planning really depend on folks who fudge their numbers? |
Financial Advisor
July 2006 |
Frontline News FPA Members Support Fiduciary Standards... NAPFA Honors Bradley For Exemption Stance... Focused On The Top, Focus Grows Again... Planners Stay Happy Despite Earnings Decline... etc. |
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
September 2012
Jeff Schlegel |
Not Making The Grade Financial advisors aren't as fiduciary as they should be, a new survey finds. |
Financial Advisor
May 2007 |
Frontline News Don't Party Like It's 1999... CFP Board Moving Headquarters... Advisors Settle Multimillion Lawsuits... FPA's New Fiduciary Standard For All Planners... Mesirow Advisors Become RIAs... |
Registered Rep.
December 1, 2006
John Churchill |
Of Two Minds An internecine argument at the FPA gets to the heart of one of the industry's more vexing problems: Should brokers be able to position themselves as financial planners? |
Registered Rep.
October 23, 2006
John Churchill |
Opulence (and a Wee Bit of Strife) at FPA Confab in Nashville Education and networking were on order at the recent annual Financial Planning Association conference. |
Registered Rep.
March 27, 2006
Kristen French |
SEC Targets Investment Traps Set For Seniors The move against the "free lunch," as they are generally called, is part of a larger initiative launched to protect senior citizens from investment scams and unsuitable recommendations. |
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. |
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. |
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
June 2007
James J. Green |
A Level Playing Field An interview with NAPFA's Dick Bellmer on the group's consumer education campaign on fiduciary standards. |
Investment Advisor
July 2007
James J. Green |
CFP Board Adds Fiduciary Requirement The Board of the Certified Financial Planner Board of Standards adopted a revised version of its code of ethics, adding new language that requires all 54,000 CFPs to "at all times place the interest of the client ahead of his or her own." |
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. |
Financial Advisor
June 2007 |
Frontline News SEC Won't Appeal Court Decision... Fidelity Offering For RIAs... 12(b)-1 Fees, Advisors' Growing Role, Are Focus At ICI Fund Conference... etc. |
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. |
Investment Advisor
October 2009
James J. Green |
Catching Up With: Bill Baldwin A telephone interview with the editor-in-chief of this publication and the new chairman of NAPFA, Bill Baldwin. |
Investment Advisor
February 2010 |
Soapbox: Here's What We Were Thinking The Financial Planning Coalition is glad to see Bob Clark's vociferous advocacy of a fiduciary standard of care for individuals who dispense financial planning advice, but not so glad of his inability to let go of the past. |
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. |
Financial Advisor
February 2007
Roy Dilberto |
Establishing Trust In Financial Planning For large wirehouses, they need to understand that business is not leaving them and being transferred to independent advisors because of the fee structure. It is because most of these people are registered as investment advisors and follow the spirit as well as the letter of the fiduciary relationship. |
Investment Advisor
March 2008
Bob Clark |
The Empire Strikes Back Wall Street's crafty response to its whipping over the Merrill rule. |
Investment Advisor
November 2006
James J. Green |
Teslik Leaves CFP Board Sarah Ball Teslik, who joined the CFP Board of Standards as CEO in 2004 and sparked many changes at the Board, has resigned from the Board to take the newly created position of senior VP of policy and governance at Apache Corp. |
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. |
Registered Rep.
September 13, 2004
John Churchill |
A Broker or An Advisor? A hot topic among the financial planning community as financial planners continue to try to define and bolster themselves as a profession: fiduciary status. Of particular concern is the "broker-dealer exemption rule" to the Investment Advisers Act of 1940. |
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. |
Financial Advisor
February 2006
Tracey Longo |
NAPFA: Holier Than Thou The chairwoman of the the small and once-feisty organization for fee-only financial advisors seeks balance between the group's rabble-rousing roots and concern for members. |
Investment Advisor
August 2007
Bob Clark |
Genius, Pure Genius Fake studies with unsound data and faulty conclusions put people who are trying to do the right thing on the wrong track. The problem is that for over a hundred years, the financial services industry has gotten away with a fraud: acting like "advisors" but being compensated as salespeople. |
Investment Advisor
October 2009
Bob Clark |
Clark at Large: The Dog That Didn't Bark A fiduciary duty to all clients would be more immediate, widespread, and at least as beneficial as separate regulation of planners. |
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. |
Registered Rep.
May 6, 2010
Kristen French |
Washington Goes Crazy For Fiduciary Standard A number of senators are scrambling to get on the fiduciary bandwagon following last weeks' Goldman Sachs hearings. |
Financial Advisor
July 2009
Sherri Scordo |
NAPFA Under Ethics Spotlight After drawing unwanted attention when some of its members were recently accused of fraud, the National Association of Personal Financial Advisors is wrestling with ways to ensure that members abide by the organization's ethical standards. |
Investment Advisor
October 2007
James J. Green |
A Robust FPA Celebrates Fresh from Senate testimony, FPA President Nicholas Nicolette stresses fiduciary duty, and the vigor of the Financial Planning Association. |
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. |
Investment Advisor
October 2007
K. McBride & K. Stapleton |
Birds of a Feather More than ever, the professional associations that cater to financial planners and advisors are having a meaningful impact outside the planning community itself, among consumers, in the courts, and on Capitol Hill. |
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 |
Registered Rep.
March 11, 2009
Christina Mucciolo |
Brokers Versus Advisors--SIFMA Wants "Universal," Not Fiduciary, Standard Will the patchwork rules governing the conduct of Series 7 holders and registered investment advisors, a patchwork that confuses the public, finally be sorted out? |
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
January 2010
Bob Clark |
Clark at Large: The Riddle of the CFP Board Have you ever wondered what those folks at the Certified Financial Planning Board are thinking? |
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. |
Financial Planning
November 1, 2011
Miriam Rozen |
Surviving Sanctions Financial planners often make the mistake of focusing exclusively on marketing and execution of clients' plans, but overlook their own industry's self-regulatory requirements. |
Investment Advisor
May 2007
Kathleen M. McBride |
Exemption Vacation "To be, or not to be?" a fiduciary is the question of the hour for broker/dealers. |
