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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.
Investment Advisor April 2007 Robert F. Keane	CFP Standards Revision A new draft addresses previous critiques and imposes a fiduciary standard for advice.
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.
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 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 Planning August 1, 2007 Bob Veres	CFP Board of Fiduciaries If you're a strong advocate of professionalism and consumer protection, you'll find a lot to like in The CFP Board's "Rules of Conduct."
Registered Rep. April 1, 2007	Marilyn Dimitroff An interview about a second round of proposed revisions to the CFP Board's Code of Ethics.
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.
Investment Advisor August 2010 Bob Clark	Can't Beat 'Em? Then Stall 'Em Despite the reform bill's ambiguity, a fiduciary standard for all seems likely.
Financial Planning December 1, 2009 Donald B. Trone	Standing on Principle Broker-dealer senior management must move their organizations from a rules-based framework, which requires little standard of care, to a principles-based framework, which requires a high standard of care.
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.
Registered Rep. May 31, 2007	CFP Board Approves Tighter Code of Ethics The CFP Board approved a second round of revisions to its code of ethics, essentially strengthening the duty of care CFP certificants must use with regards to their clients.
Investment Advisor March 1, 2011 Bob Clark	A Study in Flexibility SEC's Study on Investment Advisors and Broker-Dealers leaves too much wiggle room to declare victory yet.
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.
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 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.
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.
Investment Advisor May 1, 2011 Kathleen McBride	SEC and the Fiduciary Study: Where Do We Go From Here? It's not whether to extend fiduciary duty, but how to extend it
Investment Advisor June 2007	Fiduciary First of All Letters to the editor: Doing the Fiduciary Wiggle... Corrections... etc.
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 December 2009 Kathleen M. McBride	B/D Briefing: Surprise Broker Sentiment Most appear to support a fiduciary standard.
Financial Planning May 1, 2010 Bob Veres	In Their Own Words A fiduciary standard would be an important and powerful protection for the American consumer, and a giant step forward in the evolution of the financial advisory profession.
Investment Advisor September 2009 Bob Clark	Clark at Large: These Guys Are Good Did you ever get the haunting feeling that something was going too well? That's how I'm starting to feel about the reregulation of the advisory world, which is part of the Obama Administration's overhaul of the financial services industry.
Investment Advisor July 1, 2011 Melanie Waddell	Fiduciary D-Day Arrives As the SEC launches into rulemaking, lots of 'thorny issues' will surface.
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.
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.
Financial Planning April 1, 2012 John K. Ritter	Fight On There is a major fight going on between planners and regulators about how to define and apply a fiduciary standard. Yet despite the high stakes, it seems that few planning professionals have chosen to join in and make their opinions known.
Financial Advisor March 2012 Donald B. Trone	Defining 'Fiduciary' In Three Dimensions It means different things to different advisors, depending on their registered status, experience and background. What is clear is the need to continue to build consensus around what the term means to the industry.
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.
Financial Planning November 1, 2006 Bob Veres	Fiduciary Fire Index At the start of the new year, the Pension Protection Act will go into effect and expose all over again the fact that, although we all like to talk about fiduciary standards, there really isn't any consistent definition of the term.
Investment Advisor May 1, 2011	More Than Kin, Less Than Kind Legitimate questions raised by Republicans should be answered. The problem is that the incestuous relationship the SEC has with the industry does not allow a frank discussion of what regulatory reform means to the consumer for fear of criticizing the industry's current state.
Investment Advisor February 2010 Bob Clark	Clark at Large: Declaration of Independence Starting with fiduciary duty, I propose standards for a new profession.
Registered Rep. March 5, 2010 Kristen French	Washington Not Swayed By Mainstream Media On Fiduciary Standard. What About Clients? Will all the media attention influence brokerage clients? Many have already been migrating to investment advisers who act as fiduciaries on the RIA side of the business.
Financial Advisor October 2010 Scott A. MacKillop	One Standard, Period The debate over the fiduciary standard should be about clients - and it would be over in a heartbeat if it were.
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. May 28, 2010 Jake Zamansky	Wall Street Will (Again) Kill The Passage of a Fiduciary Standard While the House financial reform bill includes a fiduciary standard for brokers in limited circumstances, I'm fairly certain history will repeat itself and the provision will mysteriously and entirely disappear when the House and Senate reconcile their respective bills.
Investment Advisor September 2010 Melanie Waddell	The Playing Field: The Dodd-Frank Reform Bill Afterlife A fiduciary standard for all may crimp RIAs' competitive edge.
Investment Advisor March 1, 2011 Kathleen Mcbride	SEC and the Fiduciary Study: The Process Why the fiduciary standard became such a hot topic for regulators
Investment Advisor May 1, 2011 Bob Clark	The Polar Bears Thawing out our modern black and white thinking could save the fiduciary standard. I don't usually write about politics, except when it has a direct impact on financial advice, and this appears to be one of those times.
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.
Investment Advisor March 2010 Bob Clark	Clark at Large: Hope and Change Is financial reregulation moving in the right direction?
On Wall Street February 1, 2010	Five Questions with David Tittsworth David Tittsworth has served in all three branches of government and discusses ways to police the advisory business.
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.
Investment Advisor March 2008 Melanie Waddell	Figuring Out Fiduciary What, exactly, does fiduciary advisor mean? How can an advisor know for sure if he's fulfilling his fiduciary obligations? Are there any real guidelines?
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 Advisor September 2012 Jeff Schlegel	Not Making The Grade Financial advisors aren't as fiduciary as they should be, a new survey finds.
Registered Rep. January 3, 2008 Christina Mucciolo	SEC's RAND Study Released The SEC release the results of the RAND study, which examined how broker/dealers and investment advisors market products and services to investors, and how investors understand the differences between investment advisors and broker/dealers.
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 March 2008 Bob Clark	The Empire Strikes Back Wall Street's crafty response to its whipping over the Merrill rule.
Investment Advisor December 2006 Dan Moisand	Accentuate the Positive The president of the Financial Planning Association points out some positive things done by the CFP Board.