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Investment Advisor March 2006 James J. Green	Fast Start for the FSI In the two years since spinning off from the Financial Planning Association, the Financial Services Institute has made great strides within the industry, with regulators, vendors, and members of the public.
Investment Advisor January 2009 Kara P. Stapleton	Group Think News from the CFP and FPA.
Investment Advisor November 2006 Kathleen M. McBride	Catching up with... Tom Ricketts Once, if an advisor wanted corporate bonds for a client there were three choices: buying them directly; in a unit trust; or a mutual fund. Is there an easier, more elegant way to invest in corporate fixed-income?
Registered Rep. February 7, 2007 Halah Touryalai	Alphabet Soup: Massachusetts May Ban Some Advisor Designations Advisors who hold certain obscure professional designations may want to think twice about touting their alleged specialties on their business cards, mailings or other advertisements -- at least in the state of Massachusetts.
Financial Advisor June 2012 Evan Simonoff	The Great Divide When the International Association For Financial Planning merged with the Institute Of Certified Financial Planners 12 years ago, members of both groups hoped the new 30,000-member strong organization would at long last allow the profession to speak with a single voice that could give it clout.
Registered Rep. November 1, 2005 Christopher O'Leary	A Crusade Against Indies? Regardless of whether going independent means a more regulatory scrutiny or not, advisors thinking of going out on their own need to understand just how much work such a move will entail in terms of keeping up with the ever-changing world of regulations.
Financial Planning August 1, 2009 Donna Mitchell	Earnings Rebound Financial advisors are making more money, putting more emphasis on education, and shifting their compensation schemes toward fees
Financial Planning January 1, 2007 Marshall Eckblad	On the Job Allianz Life Insurance Co. has named Mike Jorgensen president of USAllianz Securities, the company's independent broker-dealer... The Financial Planning Association in Denver has elected Mark Johannessen as president elect for 2007... etc.
Investment Advisor August 2010 Melanie Waddell	Broker/Dealer Briefing News and Products Reports on FSI, Coordinated Capital Securities, American Portfolios, and more.
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 February 2008	B/D News & Products The Financial Services Institute announce that its board of directors elected Brian Murphy, chairman of Woodbury Financial Services, as chair for 2008... There's a new rate for fees paid under Section 31 of the Exchange Act... etc.
Financial Advisor June 2007 Sherri Scordo	Indepedent Broker-Dealers/Financial Advisor's 2007 Snapshot of Leading Firms Advantage Capital Corporation... AIG Financial Advisors... American General Securities, Inc... etc.
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.
Investment Advisor November 2006	Who Best to Educate the Public? While financial planning and investing are complex, the basics can be conveyed in a 15-minute face-to-face meeting with a client.
Investment Advisor March 2007 Kathleen M. McBride	An Independent Voice The Financial Services Institute kicked off its annual conference at Disney World with the group's new chair, John Simmers, CEO of ING Advisors Network, introducing an ambitious agenda for 2007.
Registered Rep. November 9, 2006 Kevin Burke	SIFMA Launch: Group Seeks Greater Clout in Washington, Single Regulatory Framework Purveyors of stocks and bonds officially joined forces this week to form one of the most powerful lobbying groups on Capitol Hill. The former Securities Industry Association (SIA) kicked off its newly consummated marriage to the Bond Market Association (BMA).
Financial Advisor July 2011 Andrew Gluck	Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance.
Registered Rep. January 27, 2006 Halah Touryalai	Indie Broker Trade Group Sets 2006 Agenda at San Diego Conference At its second annual conference, the Financial Services Institute spinoff organization announced more plans to represent the special interests of indie b/ds with regulators, including the launch of FSI PAC, a Washington lobbying unit.
Wall Street & Technology January 20, 2008 Cory Levine	Fixed-Income Products Fail to Go Fully Electronic New research reveals that not all types of fixed income securities are experiencing rapid electronification.
Investment Advisor April 2007 Kara P. Stapleton	News & Products Mary Schapiro, NASD Chairman and CEO, announced that the regulatory consolidation between NASD and NYSE Member Regulation is on track... Securities America, Inc. launched a new Assistant of the Year program... etc.
Registered Rep. January 1, 2008	2008: A Glass-Half-Full Kind Of Year? An economic prediction from the Securities Industry and Financial Markets Association.
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
Registered Rep. January 1, 2005 Namita Devidayal	The Not-So-Quiet Company In grammatical terms, a word with the letters ING at the end is a gerund, a verb masquerading as a noun. Fitting, then, that the Dutch financial services firm that goes by those letters would have a mysterious side.
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.
Investment Advisor December 21, 2010 James J. Green	FSI Endorses FINRA as SRO for Investment Advisors Dale Brown says FINRA option is "best way to address the regulatory gap."
Registered Rep. April 2, 2013	60 Seconds with Chet Helck Chet Helck is Chair of the Securities Industry and Financial Markets Association, and CEO of the Global Private Client Group at Raymond James Financial.
Registered Rep. April 23, 2014 David Armstrong	Editor's Letter: May 2014 The CFP Board's refusal to recognize problems doesn't bode well for the future of an organization that continues to play a vital role.
AFP eWire October 8, 2007	Canadian Funders Placing Huge Burdens on Charities The entire grant/funding process in Canada is becoming increasingly burdensome, time-consuming and complicated, according to a new report by the Wellesley Institute.
The Motley Fool January 23, 2007 Dan Caplinger	Make Millions With Derivatives? Is the promise of free money too good to be true? Maybe so. The first mistake that many investors make is to look for unrealistically high returns over short periods of time.
Registered Rep. January 1, 2006 Kristen French	Help Wanted Securities Industry employment topped the 800,000 mark in November for the first time since February 2002.
Financial Planning February 1, 2007 Marshall Eckblad	5 Questions A short interview with Margaret Sheehan, author of Practical Guide to NASD Regulation about the outlook for the NASD in 2007.
Investment Advisor February 2008 Angela Herbers	Barring the Door How to stop training your (future) competition.
The Motley Fool November 27, 2006 Dan Caplinger	Financial Planning Ethics With the increasing complexity of the financial world, it's increasingly important to find professionals you can trust. By choosing a financial planner who is governed by strict ethical principles and guidelines, you can feel more confident that you will get the advice and assistance you deserve.
Registered Rep. February 3, 2006 John Churchill	Dissidents Elected to NASD Board of Governors In an election victory that would make Ralph Nader, Ross Perot and other pot-stirring outsiders smile, two of three candidates running against NASD's leadership supported nominees have won seats on the self-regulator's National Board of Governors.
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 Planning November 1, 2006 Marianne Czernin	Compliance Tips Registered reps have lots of eyes watching them. Supervisors, compliance personnel, sales directors, and operations all scrutinize reps' activities. But these aren't the only people interested in reps' movements.
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. December 1, 2006 Kevin Burke	SEC Chairman Endorses Single SRO Now that SEC Chairman Christopher Cox has made creating a single SRO for the brokerage industry a top priority, why are some suddenly wondering if it's a good thing after all?
The Motley Fool December 14, 2010 Dayana Yochim	How to Tell Your Advisor's Real Agenda This four-step background check will reveal whether you're about to get sound advice, or advice that just sounds good.
Registered Rep. May 1, 2004	Cutting the Pace of Cost-Cutting New numbers from the Securities Industry Association suggest that cost-reduction efforts are easing.
Financial Advisor October 2006	Advisor Emporium Auto-Execution Trading Operation Set... Company Formed To Value Illiquid Assets... New Fund Targets Inflation's Effects... High-Earner Disability Insurance Offered... etc.
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. September 14, 2006 Halah Touryalai	NASD Fines Securities America for Failure to Supervise Securities America was fined $2.5 million for failing to supervise an advisor who allegedly lured clients into early retirement with exaggerated promises of high returns.
Registered Rep. March 31, 2015 Diana Britton	Do You Consider Yourself a Fiduciary? A survey of broker dealers on this question.
Investment Advisor March 2007	March 2007 NASAA reported that between 2004 and 2005, 26% of the 3,635 state enforcement actions dealt with the financial exploitation of seniors... Financial Services Institute Chairman John Simmers announced FSI will issue a white paper... etc.
The Motley Fool March 9, 2004 Dave Braze	Building a Bond Ladder Shield your fixed-income investments from interest rate risk.
Registered Rep. November 29, 2006 Kevin Burke	Small Firms Move to Block NYSE/NASD SRO Merger Not everybody is cheering the formation of a single self-regulatory organization. An insurgency of small brokerage firms is urging their peers to strike down yesterday's announced merger between the regulatory arms of NYSE and NASD.
Wall Street & Technology July 1, 2005 Maria Santos	Fast Facts According to the Securities Industry Association's 2004 Investor Survey, nine out of 10 investors are "very" or "somewhat" satisfied with the service provided by their investment professional.
Registered Rep. January 16, 2013 Diana Britton	DOL's Fiduciary Proposal Presents Renewed Threat to Securities Industry SIFMA expects a DOL fiduciary proposal in the second quarter of this year, renewing the industry's concern over the possible legislation, which the organization says is contrary to the SEC's.
Investment Advisor February 2009 Kara P. Stapleton	Group Think The Certified Financial Planner Board of Standards releases proposed revisions to its Disciplinary Rules and Procedures... Financial Services Institute's Board elects Eric Schwartz chair... FPA Board of Directors approved creation of Diversity Scholarship Program for FPA conferences...