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Registered Rep. March 1, 2008	Plain English: The Cost of Compliance The SEC voted in February to propose changes to the structure of the Form ADV, the disclosure document that all investment advisors must complete.
Financial Planning May 1, 2008 Rick Cortese	New Form ADV 2 On March 3, 2008, the SEC proposed amendments to Form ADV Part 2.
Financial Advisor May 2004 Alan Lavine	Dramatic Changes Loom For Mutual Fund, Annuities Sales Proposed disclosure rules could hurt level-load sales.
Investment Advisor April 2007 Robert F. Keane	CFP Standards Revision A new draft addresses previous critiques and imposes a fiduciary standard for advice.
Registered Rep. August 28, 2007 John Churchill	SEC Principal Trade Proposal: A Stalling Tactic? A 2-year "interim rule" would allow large brokerage firms that also have many other business lines to meet their fiduciary obligations to customers while still engaging in principal trading activity -- selling customers products from their own inventory.
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?
The Motley Fool November 15, 2010 Dan Caplinger	Stop This Dumb Fee Once and for All 12b-1 fees are a relic of a dying breed of mutual funds.
Investment Advisor August 2010 Melanie Waddell	Advice to the SEC When it comes to the fiduciary standard, Capital Analysts President and CEO Matt Lynch says advisors "want to be sure the SEC seeks and gathers input from the industry as to how to implement these important changes."
Registered Rep. April 11, 2014 Diana Britton	Is the CFP Board Losing Credibility in the Eyes of Advisors? WealthManagement.com surveyed 321 CFP holders and found that one-third believe the recent scandals detract from the perceived value of the designation.
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 June 1, 2011 Thomas D. Giachetti	From Deadlines to Lifelines The SEC extension of registration deadlines provides a potential grace period for stressed out advisors.
Investment Advisor November 2009 Melanie Waddell	SEC Sets Out Strategic Plan The Securities and Exchange Commission publishes its Draft Strategic Plan outlining the Commission's strategic goals for 2010 through 2015.
Investment Advisor April 1, 2011 Thomas D. Giachetti	Dodd-Frank: An Overview Of Pending Changes For Investment Advisors Dodd-Frank deadlines are fast approaching. Are you ready?
Financial Advisor April 2004 Tracey Longo	Wanted: Real Disclosure Rules on brokers compensation disclosure are changing---but slowly.
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 Planning June 1, 2011 Donna Mitchell	A Bigger Stick The CFP Board of Standards says part of its mission is to serve the public by upholding high standards of conduct. But some planners are questioning the group's motives after it recently gained access to many Americans' private financial information.
Registered Rep. April 7, 2005 Kristen French	NASD Advocates More Disclosure, Less Paper Broker/dealers and their reps may get a big break on point-of-sale disclosure if the Securities and Exchange Commission heeds recent NASD advice.
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.
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 February 1, 2008 Jeanne Lee	Regulatory Roundup With regulatory agencies under political pressure to take a tougher stance on investor protections, financial advisors need to stay abreast of a number of proposed rule changes that could come online in 2008.
Investment Advisor February 2008 Angela Herbers	Barring the Door How to stop training your (future) competition.
Financial Advisor July 2006 Mark Goldberg	Seat Belt Or Life Raft? Arbitration can be a traumatizing experience for financial advisors. In most instances, there is a genuine misunderstanding. Are we willing to ask ourselves if we did a good job communicating?
Registered Rep. October 8, 2004 John Churchill	Are Reps Advisors or Mere Brokers? The CFA sent a comment letter to SEC Chairman Donaldson, suggesting the nature of the services, not the compensation model, is what is important. And the current exemption misses this point.
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.
Financial Planning November 1, 2009 Robert Pozen	Think Twice Congress is seriously debating legislation that would significantly expand the coverage of the Investment Advisers Act, empower the SEC to make rules on advisor compensation and increase the likelihood of lawsuits against advisors.
Financial Advisor July 2008	Frontline News News of interest to the financial community: CFP Board's New Conduct Standards... SEC Examining More RIAs... Advisors Await Word On New Privacy Regulations... First Western Buys Fourth RIA Firm, Doubles Size...etc.
Information Today January 5, 2009	SEC Approves Requirement of Interactive Data for Financial Reporting With interactive data, all of the facts in a financial statement are labeled with unique computer-readable "tags," which function like bar codes to make financial information more searchable on the internet.
Registered Rep. May 9, 2011 Gleeson & Britton	New SEC Disclosure Rules Dismay Some Advisors; Advisor Disciplinary Histories in Welcome Packets New SEC rules that require federally-registered advisors to disclose their disciplinary histories in brochures and provide them to clients will get under way in earnest by the end of the summer.
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. February 18, 2004 John Churchill	SEC Puts Forth Mutual Fund Rules Proposals The SEC has put forth three proposals that could drastically change the way mutual funds are sold.
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 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 Melanie Waddell	On a Mission A conversation with Kevin Keller, in which he promises that his second year as the CFP Board CEO will be even more fruitful than his first.
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 October 2010	The Future of 12b-1 Fees The Financial Services Institute offers up a good primer on proposed changes to 12b-1 rules.
Financial Advisor August 2009 Roy Diliberto	Transparency: A Model For Our Profession Investment advisers should only have one interest in mind, and that is the individual.
Financial Advisor July 2011 Andrew Gluck	Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance.
Financial Planning September 1, 2009 Stacy Schultz	Staying Alive As the economic environment has pinned many financial advisors against a wall, for some, bankruptcy is their best chance at salvaging their business.
Investment Advisor February 2007 Melanie Waddell	Clear Road Ahead Commonwealth's retirement platform, Preferred Portfolio Services Retirement Solutions, keeps financial advisors compliant with ERISA and PPA.
Registered Rep. October 29, 2013 David Armstrong	Editor's Letter: November 2013 A common refrain heard at industry conferences and in the trade press is that "the financial services industry suffers from a bad reputation. How can we rebuild client trust?"
Registered Rep. June 2, 2004 Will Leitch	SEC Passes Breakpoint Amendment---With an `Ethics' Twist The Securities and Exchange Commission has issued its long-awaited amendments on breakpoints (sales-charge discounts on mutual funds), and the end result of months of deliberations surprised no one.
Financial Advisor October 2012 Brian Hamburger	Sleight Of Hand The apparent death knell of Finra as an SRO by no means signals victory.
Financial Planning April 1, 2008 Lisa Roth	Straight Talk Given the SEC's proposal on a plain-English online Form ADV 2 disclosure brochure, now is the time for advisors to brush up on their language skills.
Registered Rep. May 1, 2004 Anne Field	Et tu, 529 Plans Both the NASD and the SEC have revealed they are separately investigating yet another area within the financial services sector: 529 college savings plans.
Registered Rep. April 1, 2007	Turf Wars Over Advice The age-old debate between the b/d and investment advisor (RIA) industries over who should be able to provide advice and when, and whose regulatory regime offers better investor protections, is far from over.
Real Estate Portfolio Jul/Aug 2006 Portal & Hilzenrath	New SEC Proposed Guidelines to Give Investors a Clear View at Executive Compensation REITs should conduct a thorough review of current compensation policies and practices and evaluate them in light of the new disclosure proposals. For some REITs, a complete overhaul of the compensation program may be necessary.
Investment Advisor February 2008 Melanie Waddell	A Busy Year in Washington Now that the Rand report assessing the advisory and broker/dealer industries has been released, No doubt advisors and brokers will be anticipating any possible regulatory actions that the SEC may take.
Investment Advisor July 2010 Melanie Waddell	A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.
Information Today August 21, 2008	SEC Announces a New IDEA--The Successor to EDGAR Based on a completely new architecture being built from the ground up, it will at first supplement and then eventually replace the EDGAR system.
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.