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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.
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?
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. 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.
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.
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.
Financial Advisor June 2006	Frontline News CFP Board To Punt On The F Word... Raymond James Demands Cheaper VA Products... More Clients Need Insurance Help... Calling Young Advisors... etc.
Financial Advisor November 2006	Frontline News CFP Board CEO Teslik Resigns... FPA Ponders Prospects For A Win Against The SEC... Lawyers Don't Like New Law... Morningstar Adds Dollar-Weighted Returns Data... etc.
Financial Advisor November 2004	Frontline News New CFP Board CEO Offers Her Ideas... FPA Has Its Day On Capitol Hill, Mixing Planning With Politics... Investigations May Aid Lawsuit To Rollback Broker Exemption... RIA Business Boomed in 2003, But Profit Margins Shrank... etc.
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.
Financial Advisor September 2006	Frontline News Optional Fiduciary Stance Challenged... Retired Widow Wins Fiduciary Case Against Advisor... Investors Still Expecting High Returns... Investors Want Choice... Advisors Optimistic About Growth Prospects... etc.
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.
Investment Advisor September 2006 Bob Clark	Clark at Large: Board to Death: Reloaded Think the Certified Financial Planner Board had gone mainstream? Think again. Here's a recap of Board CEO Sarah Teslik's recent off-the-wall comments.
Financial Planning August 1, 2013 Ann Marsh	New Risks For Advisors? A recent CFP Board sanction highlights the challenge for planners in identifying where they stand amid the range of compensation models.
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...
Financial Advisor July 2011 Andrew Gluck	Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance.
Financial Advisor February 2005	Frontline News Financial Planning Association Dismissive Of SEC Action On Broker Exemption... Brokerages, Funds Await New Regulations... Pape Says Certified Financial Planner Board Will Focus On Accountability... etc.
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.
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.
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.
Investment Advisor March 2008 Bob Clark	The Empire Strikes Back Wall Street's crafty response to its whipping over the Merrill rule.
Investment Advisor January 2006 Bob Clark	Clark at Large: Two Steps Back? Just when FPA is moving into high gear, some of its rhetoric sounds suspiciously retro.
Financial Advisor December 2004	Frontline News Economics, Not Politics, To Challenge Bush Agenda... Moisand Named FPA President-Elect... Public Believes Rules Are The Same For RIAs, Brokers... Many Retirees Are Insecure About Finances, Says Study... etc.
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.
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 March 2005	Frontline News AICPA Joins FPA In Opposing Exemption For Brokers... Heads Roll At CFP Board As Up To 25% Of Staff Gets Axed... American Express Spinning Off Advisors Unit... Board Of Standards Disciplines 23... etc.
Financial Advisor April 2008	Frontline News Tumult At CFP Board's Ethics Commission... FPA Says No To FINRA Or SEC Oversight... Client Loyalty Counts For Only So Much... Investors Flock To Socially Responsible Investing... Sanders Morris Buys Half Of Leonetti & Associates... etc.
Investment Advisor July 2006	Group Think Starting July 1, NAPFA will launch its "Focus on Fiduciary" campaign... A recent member-wide survey of the FPA found that its members believe that financial planners should be held to a fiduciary standard.... etc.
Financial Planning September 1, 2008 Bob Veres	Power Plays The recent Financial Planners Association luncheon allowed attendees to voice their concerns to a panel that included newly installed CFP Board CEO Kevin Keller.
Financial Advisor April 2007	Frontline News Longtime Partners Sue Each Other In Multimillion Lawsuit... CFP Board Revises Ethics Proposal... LPL Keeps On Growing... Americans Saving Marginally More... etc.
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. June 1, 2004 Allen Plummer	Over the Top There's one big problem with being on top, and the organization that administers the Certified Financial Planner designation is in the process of learning all about it.
Financial Advisor March 2011 Andrew Gluck	Members Only Good intentions and strict rules may have backfired for the Financial Planning Association at a time of change.
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 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.
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?
Financial Advisor September 2011	Frontline News Laboring Over A Fiduciary Standard... Advisory/Brokerage Industry Still Climbing Out Of Meltdown Wreckage... Compliance Hot Spots... etc.
Financial Planning February 1, 2005 Ed McCarthy	The Next Generation of Advisers (and the Problem with Uncovering Them) There's still no tried-and-true path for those entering the financial planning profession.
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 Advisor December 2005	Frontline News Fee-Only Practices Are The Most Profitable... FOLIOfn Subsidiary Launches Proxy Compliance Service... Advisors Got Wealthier, And Happier, In 2004, Says Survey... FPA Names Nicolette 2006 President-Elect... etc.
Investment Advisor May 2007	The IA 25 This year's list of the 25 most influential individuals in and around the planning profession: Mary Shapiro... Rudy Adolf... Robert Arnott... Mark Tibergien... etc.
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 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 February 2008 Melanie Waddell	A Groundbreaker SEC's Rand report, of the broker/dealer and investment advisory industries will dominate the discussion among brokers and advisors in 2008.
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.
Financial Advisor December 2003	Brown To Head New Brokerage Association Broker-dealers are moving ahead with their plans to exit the Financial Planning Association (FPA) and form an independent association of their own. Dale E. Brown, most recently associate executive director of the FPA, will serve as chief executive officer and executive director.
Financial Advisor November 2003 Evan Simonoff	Contest For The Financial Planning Association's Soul Is the Institute of Certified Financial Planners's agenda for the new association (the product of a merger between the ICFP and the International Association for Financial Planning) winning?
Financial Advisor February 2007	Frontline News Schwab Offering Loans To RIAs Going Independent... TD Ameritrade Purchases iRebal... Suitability Standards For DPPs Could Rise... N.J. Firm Was B-D's Biggest Catch In '06... etc.
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.