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Investment Advisor May 2009	Game Changer Barack Obama tops the 2009 IA 25 -- our seventh annual list of the most influential people in and around the advisory profession.
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 May 2009 Melanie Waddell	Danger & Opportunity: The SEC Reformation An exclusive interview with SEC chief Mary Schapiro regarding financial services reforms.
Investment Advisor May 1, 2011	Follow the Leaders: The 2011 IA 25 Announcing the 2011 IA 25 - Fiduciary, behavior, retirement and much more
On Wall Street August 1, 2009 Mark Astarita	Changes at the SEC: Schapiro Should Be Benefit to Advisors One can expect that as head of the SEC Mary Schapiro will understand the impact of new rule proposals and enforcement initiatives and will temper the calls for more extreme changes that would ultimately harm the markets and the financial industry.
Investment Advisor May 2009 Bob Clark	Clark at Large: Creationism Investors and other financial consumers would be best served by a Glass-Steagall clone, separating financial advice from any and all financial product manufacturing, marketing, or sales.
Financial Advisor October 2012 Mary Rowland	Tough Choices Financial advisors describe how they are helping clients potentially minimize the bite when taxes go up next year.
Investment Advisor May 2010 James J. Green	Editor's Note: Another Modest Proposal Investment advisors should consider getting involved with the advisory panel that will get to vet every new investment product before that product can be sold.
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 2010	Thirty for Thirty Our list of the 30 most influential individuals in and around the planning profession over the last three decades.
Financial Advisor November 2009 Jeff Schlegel	The Great Debate Financial services reform is coming. How will it impact advisors?
Financial Planning December 1, 2009 Kristina Fausti	Fiduciary Q and A Most advisors are still not clear on the issues regarding a fiduciary standard. Here are some Qs and As on the subject.
Registered Rep. February 18, 2010 David A. Geracioti	The Return of the Estate Tax and "New Money" Financial advisors with entrepreneurial clients -- first-generation wealth creators -- best take heed of Obama's recently introduced plans to bring back the federal estate tax.
Registered Rep. September 23, 2011 Diana Britton	Final Shape of Tax Reform Unclear, But Some FAs Take Steps to Prepare Clients Most financial advisors are taking a wait-and-see approach to President Barack Obama's tax proposal announced Monday, but some say it could pay to prepare clients for some kind of tax reform anyway.
Registered Rep. January 14, 2009	Schapiro, FINRA Head And Obama's SEC Chair Selection Head To D.C. Tomorrow For A Confirmation Hearing Mary L. Schapiro heads to Capitol Hill tomorrow morning for the hearing on her Senate confirmation as President-elect Barack Obama's nominee to chair the U.S. Securities and Exchange Commission.
Financial Advisor October 2012	Stalled: Tougher Fiduciary Standard For Brokers Even with Wall Street and consumer advocates allied in pushing for it, a U.S. Securities and Exchange Commission proposal to raise standards for brokers advising retail investors has run aground.
Investment Advisor October 2009 Melanie Waddell	Danger & Opportunity: Financial Services Reform Bill Inevitable Financial services reform is still alive and kicking, as President Obama made very clear as he renewed his push for reforms during his speech to Wall Street.
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
The Motley Fool November 7, 2008 Jim Mueller	How Obama Will Affect Your Portfolio Barack Obama was elected the next president of the United States of America on Tuesday night, but Wall Street isn't finished voting yet.
Investment Advisor May 2010 David Tittsworth	What a Reinvigorated SEC Will Mean for You The first in a series of occasional commentaries by the executive director of the Investment Adviser Association.
Investment Advisor August 2009 Bob Clark	Clark at Large: Something About Mary The drive to reregulate financial advice shifted into high gear on June 17, when the Obama Administration released its white paper containing proposals for 21st Century Financial Regulatory Reform, and passes it to SEC chair Mary Shapiro.
CFO February 1, 2009 Edward Teach	The SEC under Schapiro Can Mary Schapiro restore investors' confidence in the beleaguered regulator?
BusinessWeek September 23, 2010 Ryan J. Donmoyer	Would Ending Bush's Tax Cuts Hurt Small Business? Some small business income would be subject to higher taxes under Obama's plan, though not the 50 percent the GOP claims.
Financial Planning December 1, 2008 Jeanne Lee	Taxes: Going Up? After President-elect Obama takes office, many experts expect an increase in capital gains and income tax rates for high-net-worth individuals. Advisors might want to consider examining the potential impact of higher rates on clients' portfolios and retirement strategies.
Investment Advisor October 2009 James J. Green	The Scope of the Problem A tax and planning attorney speaks at Schwab Impact 2009 about tax and estate planning changes that are on the way.
Investment Advisor August 2008 James J. Green	The Message You Send Part of your role as an advisor is to place any economic, market, or political development into context. The message you send clients must be consistent, clear, prudent, and measured.
Financial Planning February 1, 2012 Scott Wenger	Planning the Unknowable As all savvy advisors know, smart tax planning is not only about choosing the right strategy at the right time, it's also about avoiding bush league mistakes.
On Wall Street November 1, 2009 Gerri Leder	Navigating A New Tax Era As far as taxes are concerned, make no mistake: Your clients' retirement savings are in peril. In our lifetime, the tax burden will likely change wealth and consumption habits for advisors and clients alike.
Investment Advisor July 2009 Bob Clark	Clark at Large: Reality Check Washington is far more likely to tweak the existing system than to rewrite the investment advisor legislation.
Investment Advisor October 2008 Melanie Waddell	And the Winner Is... A refresher course on the Presidential candidates positions of importance to the financial services industry.
Investment Advisor May 2010 Melanie Waddell	Schapiro Speaks on Fiduciary, 12b-1s In an exclusive interview, the SEC Chairman speaks her mind.
Registered Rep. January 15, 2009	Schapiro's Replies: Blame The SEC--Not FINRA--For Madoff It wasn't her job, man.
Registered Rep. February 1, 2013 Diana Britton	Comings & Goings: February 2013 The Financial Services Institute tapped Kathryn Anderson as its new director of corporate relations... Mary Jo White is the new chair of the Securities and Exchange Commission... Douglas King will become president and CEO of Cetera Advisor Networks...
Financial Planning March 1, 2011 Larry Light	The Tradeoff Registered investment advisors may end up getting to know a new regulator, but the tougher fiduciary standard they live under will also be extended to cover their broker-dealer rivals.
Investment Advisor January 1, 2011 James J. Green	Hold That Hyperbole! Advisors may have strong political opinions, but they should set aside their partisanship -- not deny it -- to serve the needs of their clients.
Investment Advisor August 2010 Melanie Waddell	Will the States Be Able to Regulate Big RIAs? State regulators and the Securities and Exchange Commission (SEC) will meet soon to iron out the details of shifting nearly 4,000 advisors from federal to state supervision.
Inc. October 2008 Robb Mandelbaum	Tax This; Tax That When it comes to taxes, John McCain and Barack Obama both want to ease the burden and spark the economy. The difference is in how they would go about doing it. Here are the specifics of each candidate's plan.
Financial Advisor July 2011 Andrew Gluck	Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance.
Investment Advisor July 2009 Melanie Waddell	Danger & Opportunity: Bracing for Change It looks to be all but inevitable that the rules for broker/dealers and investment advisors will be harmonized, and that broker/dealers offering investment advice will have to adhere to a fiduciary standard of care.
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.
Reason November 2008 Mangu-Ward et al.	Is There Any Hope For This Man? Assessments of Barack Obama from several libertarians.
The Motley Fool November 7, 2008 Dan Caplinger	Is an Obama Tax Storm Looming? With the new president-elect announcing that change is on its way, investors on both sides of the aisle are wondering whether they're going to end up paying a lot more in taxes.
BusinessWeek July 15, 2010 Ryan Donmoyer	Brinkmanship Over the Bush Tax Cuts High-income Americans could be the beneficiaries of a looming fight over whether to extend or let expire the Bush-era tax cuts.
Financial Planning October 1, 2010 Katherine Reynolds Lewis	Study Harder New Dodd-Frank legislation kick-started two major initiatives that could transform the way financial advice is regulated and for the first time subject financial planning to explicit regulatory oversight.
Financial Advisor October 2010	Frontline News New SEC requirements that financial advisors create a plain-English version of Form ADV Part 2... Fiduciary Standard Lobbying Season... Does Schwab's Purchase Of An RIA Portend A New Trend?... etc.
Financial Planning August 1, 2009 Bob Veres	A Swiftly Tilting Planet How will brokers and financial advisors fare in the government's battle to regulate the securities industry?
Financial Advisor July 2009 Sherri Scordo	Compliance Concerns There's a lot of buzz these days about potential changes in compliance rules and the impact on advisors.
Investment Advisor March 2009 Melanie Waddell	Reform Is on the Way SEC Chairwoman Mary Schapiro is laying the groundwork for a significantly beefed up enforcement division at the Commission.
Investment Advisor July 1, 2011 Melanie Waddell	Fiduciary D-Day Arrives As the SEC launches into rulemaking, lots of 'thorny issues' will surface.
Investment Advisor January 2009 James J. Green	What to Do Now? When you're in the middle of a crisis, by definition it's difficult to plan ahead to avoid the next crisis, but that's exactly what the smart, growing, most profitable advisors tend to do.