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Investment Advisor March 2009 James J. Green	The FSI's Priorities Now While the members of the Financial Services Institute compete fiercely with each other in many areas -- within FSI they have subsumed their differences in favor of promoting the common agenda of broker/dealers.
Investment Advisor February 2010 Marlene Y. Satter	Broker/Dealer Briefing: New Leader for FSI A short conversation with Mari Buechner, CCO and CEO of Coordinated Capital Securities, and the new chair of the Financial Services Institute.
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.
Registered Rep. January 30, 2007 Halah Touryalai	At Independent B/D Confab, Optimism and Skepticism The head of the Financial Services Industry Institute is feeling a little more comfortable with regulators. But, on the other hand, the chairman of the FSI also warns that the combining of the NYSE and NASD might create a power struggle among "second-level" regulatory staffers.
Investment Advisor March 2010 James J. Green	Broker/Dealer Briefing: Independent Broker/Dealers Celebrate Earned Credibility The Financial Services Institute lays out its agenda, starting with preservation of independent contractor status.
Investment Advisor March 2008 James J. Green	Coming Out Party Only fours years after its inception, the Financial Services Institute has achieved a high level of success as the primary advocacy group for independent broker/dealers. The recent FSI gathering was the broker/dealer group's biggest ever.
Investment Advisor June 2007 Kathleen M. McBride	Interesting Times Independent broker/dealers find opportunity in the face of changing winds.
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.
Investment Advisor March 2009 James J. Green	Broker/Dealer Briefing: A Shot Over the Bow FINRA is quietly conducting a sweep of broker/dealers that could be the first steps to having the SRO take over regulation of registered investment advisors from the SEC -- something the former NASD has long desired.
Investment Advisor May 2009 James J. Green	Broker/Dealer Briefing: John Simmers of ING The CEO of ING Advisors Network, John Simmers, is retiring, but will retain his seat on FINRA's Board.
Registered Rep. November 1, 2006 Halah Touryalai	The Indie Man An interview with John Simmers, CEO of ING Advisors Network, about his multiple duties, including issues facing his firm and others like it, as well as recent attacks on the NASD's credibility as a voice for small firms.
Investment Advisor March 2006 Melanie Waddell	The Playing Field: Here, There and Everywhere Dually registered advisors (advisors who are registered with both the SEC and the NASD, and are collecting both fees and commissions) have the best -- and worst -- of both worlds. However, a new study shows when implemented properly, the hybrid model can be very profitable.
Investment Advisor October 2008	News & Products, October 2008 The SEC announces an enforcement action against LPL Financial Corp... ING Advisors Network announced a reorganization... Ameriprise Financial has signed an agreement to acquire H&R Block Financial Advisors... etc.
Investment Advisor June 2006 Kathleen M. McBride	Stretched For broker/dealers who are already stressed, dually registered advisors are a challenge being met in varied ways.
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.
Investment Advisor June 2008 Philip Palaveev	The New Model: The Fee-Only Broker/Dealer Independent broker/dealers must tackle head-on the causes of their frustration if they wish to survive.
Investment Advisor May 2008 Melanie Waddell	Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers.
Investment Advisor February 2007 Melanie Waddell	Watch Out Broker/dealers and RIAs alike should ready themselves for a number of initiatives being worked on by their regulators in the New Year.
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 June 2008 McBride & Roberts	The Presidents Speak Recruiting and building margins are top challenges for independent broker/dealers today.
Financial Planning September 1, 2007 Bob Veres	The Dual Reality The FSI and independent broker-dealer community have become pivotal voices in the profession. What they see in the future might surprise you.
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.
Investment Advisor September 2008 Eric Schwartz	B/D or RIA? The Case for the Flexible B/D How independent broker/dealers and advisors can thrive by leveraging the trends of the future.
Investment Advisor October 2006 Melanie Waddell	Taking It to The Hill The Financial Services Institute lobbies lawmakers and hears from regulators on their Public Policy Day in Washington.
Registered Rep. March 12, 2007 John Churchill	NYSE/NASD Merger Attracting Lawsuits A California broker/dealer who has sued to stop the merger of the NYSE and the NASD is looking for like-minded folks to join its cause.
Investment Advisor June 2008 Kathleen M. McBride	Independents' Optimism Broker/dealer advisory board members say things are looking up in the industry.
Financial Planning June 1, 2007 Marshall Eckblad	4 Questions Mary Schapiro is chairman and CEO of the NASD, which is set to merge later this year with the New York Stock Exchange. Here, she spoke about the new organization that she has been appointed to lead.
Investment Advisor March 2009 James J. Green	Editor's Note: For Your Consideration RIAs and broker/dealers are more alike than they are different, and it's always better to merge from strength than weakness.
Investment Advisor January 2007 Kathleen M. McBride	A New SRO's in Town The move to consolidate the NASD and the NYSE, and their corresponding and sometimes conflicting sets of rules into one unified SRO has picked up momentum and a number of endorsements while also sparking a certain amount of controversy.
Investment Advisor April 2010 James J. Green	Broker/Dealer Briefing: Cetera Ready to Grow Former Ing Broker/Dealers Are Committed to the new Cetera Financial Hybrid Model.
Investment Advisor July 2009 Melanie Waddell	Regulatory Reform Angst It's clear that advisors are worried about the impact of regulatory reform measures.
Investment Advisor February 2009 Melanie Waddell	Is Mary What the SEC Needs? The alternative to FINRA overseeing advisors, and what advisors would definitely prefer, is a self-regulatory organization.
Investment Advisor July 2010 Melanie Waddell	A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.
Registered Rep. October 20, 2004 Will Leitch	Tough Talk at SIA Mutual Fund Conference NASD Chairman and CEO Bob Glauber blasted the mutual fund industry for trying to shift the focus of SEC regulation away from the people it was intended to protect: the investors.
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 December 2006 Kathleen M. McBride	Three-Part Harmony Financial advisors, sing along as the SEC is set to look at proposals for regulatory rules that have been harmonized in an attempt to eliminate, or greatly reduce, conflicts, duplication, and confusion, in a new hybrid set of rules.
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?
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.
Registered Rep. February 1, 2006 John Churchill	Size-ism? Ten years after the formation of the Small Firms Advisory Board, many small firms say they are still getting pushed around by bigger firms -- and this time the NASD is taking the side of the bullies.
Registered Rep. January 12, 2006 John Churchill	Schapiro in for Glauber at NASD 2007 The NASD Board of Governors announced today that Mary Schapiro, currently the self-regulator's head of Regulatory Policy and Oversight, will become the NASD's chairwoman when the term of its current chief ends in December 2006.
Investment Advisor December 2009 James J. Green	ING Sells Three B/Ds ING agreed to sell three of its U.S. broker/dealers that comprise the ING Advisors Network to Lightyear Capital LLC.
Investment Advisor August 2010 Melanie Waddell	Broker/Dealer Marketing: Finding Their Voice Broker/Dealers are waking up to the new, post-downturn marketing environment. Here are a few of the best ideas.
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.
Investment Advisor March 2006 James J. Green	Editor's Note: The Limits of Independence Why the independent advisory business is such a wonderful one to be in, and yet such a frustrating one, too.
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.
Investment Advisor September 2008 Philip Palaveev	B/D or RIA? How to Decide for Yourself To help make the decision between the registered independent advisor and broker/dealer approach, first ask yourself where you belong.
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?
Investment Advisor March 2010 James J. Green	Lightyear Buys ING B/Ds Private equity firm Lightyear Capital LLC has completed its acquisition of the three independent broker/dealers that formerly constituted the ING Advisors Network.
Investment Advisor June 2007 Kara P. Stapleton	News & Products NASD has fined two Fidelity broker/dealers for preparing and distributing misleading sales literature... The broker/dealers of ING plan to lower fees that their advisors pay on two core advisory programs... etc.