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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.
The Motley Fool October 27, 2009	The Treasury Answers Fools' Questions Deputy Secretary of the Treasury Neal Wolin answers Motley Fool readers' questions regarding regulatory reform.
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 July 2010 Melanie Waddell	A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.
Investment Advisor August 2009 Melanie Waddell	Danger & Opportunity: Consumers Take Center Stage of Reform Debate Financial services reform continues to unfold, with two pieces of legislation being sent to Capitol Hill in July aimed at protecting investors.
Registered Rep. February 17, 2010 Kristen French	Uniform Fiduciary Standard Still A Question Mark The fiduciary issue is not one of the major sticking points in wrangling over legislation; the big issues are banking regulations, systemic risk, credit rating agency reform, derivatives, executive compensation, and the Consumer Protection Agency.
Investment Advisor April 2010 Melanie Waddell	Washington Watch: The Shape of Reform Begins to Sharpen Dodd's bill calls for SEC study, not a fiduciary standard; advisors await final markup.
Registered Rep. March 2, 2010 Kristen French	Senate Nears Deal, Consumer Protection At The Fed Circulated Monday by Chris Dodd, Senate banking committee chairman, the latest proposal would house a semi-autonomous consumer protection agency inside of the Federal Reserve, according a story in the Financial Times.
BusinessWeek August 26, 2010 James Sterngold	Let a Thousand Regulators Bloom As agencies begin rewiring Wall Street, job openings abound.
On Wall Street February 1, 2013 Kenneth Corbin	Regulatory Forecast Bodes Change Advisors could see talks on oversight and a fiduciary standard move forward this year.
Registered Rep. March 15, 2010 Kristen French	Dodd Bill Requires Year-Long Study of Fiduciary Issue, SRO Idea, Gives SEC Muscle Banking reform legislation introduced Monday would give the SEC greater enforcement muscle over RIAs, and would require it to conduct a study examining the effectiveness of extending the fiduciary standard to brokers.
Investment Advisor August 2010 Melanie Waddell	Washington Watch: Financial Services Reform Finalized SEC gets fiduciary powers, but lack of self funding may pose trouble
The Motley Fool March 16, 2010 Matt Koppenheffer	How to Fail at Financial Reform Real financial reform still seems to be something of a pipe dream. What we got from Sen. Chris Dodd, chairman of the Senate Banking Committee, fell far short.
On Wall Street March 1, 2010	Five Questions with Timothy Ryan Jr. Ryan held senior positions in the industry, from the vice chairman level at JPMorgan to Director of the Office of Thrift Supervision, where he helped in the S&L cleanup. He talks about today's regulatory needs.
Bank Director 1st Quarter 2010 Jack Milligan	A Look at the Hill and Beyond Steve Bartlett, head of a financial services lobbying group, talks about political gyrations in Congress and the concerns all banks ought to be having about the impact of banking reform on the U.S. economy.
Investment Advisor November 2009 Melanie Waddell	Danger & Opportunity: Healthcare, Financial Services Reform Making Headway Two of the Obama Administration's top priorities to accomplish by year-end -- healthcare and financial services reform -- are well on their way to fruition.
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 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.
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.
The Motley Fool August 11, 2006 Rich Smith	Senators Snookered by Credit Rating Bill? A Senate bill is unlikely to upset the Moody's - S&P debt-rating duopoly. Here's why and what it means to investors.
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.
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.
Investment Advisor June 1, 2011 Melanie Waddell	Schapiro Says SEC to Focus in July on Fiduciary, 12b-1 The Commission will look at fund regulation "in tandem" with RIA/BD reform.
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
Registered Rep. May 20, 2010 Kristen French	Senate Nears Vote On Financial Reform, Fiduciary Standard On Hold The Senate voted 60-40 Thursday to end weeks of debate on Christopher Dodd's financial regulatory reform legislation, in what is called a cloture vote. That clears the way for a final vote on the bill within 30 hours.
Insurance & Technology April 3, 2008 Katherine Burger	No Surprises in Insurance Industry's Mixed Reception for Treasury Department's Endorsement of Optional Federal Charter Concerns about competitive advantage inspired the life insurance industry's welcome of the Treasury's call for an optional federal charter as part of broad regulatory reform proposals for financial services.
Investment Advisor May 2009 Melanie Waddell	Danger & Opportunity: The SEC Reformation An exclusive interview with SEC chief Mary Schapiro regarding financial services reforms.
Registered Rep. October 1, 2009 John Churchill	SEC and CFTC Talk Reform The Securities Exchange Commission and the U.S. Commodity Futures Trading Commission announced Wednesday that they expect to release a report within two weeks that explains the regulatory responsibilities of each agency and recommends ways to improve their functioning.
Bank Systems & Technology March 26, 2009 Orla O'Sullivan	Geithner Calls for "New Rules" with Insurers, Hedge Funds to be Regulated Critics question government's 'power grab,' as Treasury Secretary says far more regulation needed.
Investment Advisor August 2007 Melanie Waddell	Treasury Calls for Regulatory Overhaul Secretary of the Treasury Henry Paulson is on a mission to reform the U.S. financial services regulatory structure to enhance the nation's global competitiveness.
Investment Advisor May 2010 Melanie Waddell	Schapiro Speaks on Fiduciary, 12b-1s In an exclusive interview, the SEC Chairman speaks her mind.
On Wall Street June 1, 2010 Mark Astarita	Tilting the Litigation Landscape Against the Financial Industry Current reform proposals could radically alter the broker-client relationship.
Investment Advisor August 2008 Melanie Waddell	Wheels of Blueprint In Motion The SEC and the Federal Reserve Board's recent Memorandum of Understanding marks a first step; but Congress says more stringent financial services regulations are warranted.
Bank Systems & Technology March 20, 2009 Maria Bruno-Britz	Proposed New Financial Authority Would Oversee Troubled Holding Companies The President's plan for a new financial agency would give that body authority to temporarily take over floundering bank holding companies in a manner similar to the FDIC's procedures for commercial banks.
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 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.
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.
CFO June 1, 2010 Randy Myers	Ratings Disaster Congress takes another stab at reforming the credit-rating agencies, whose AAA seal of approval helped fuel the subprime crisis. But will any change truly make a difference?
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 December 2009 Kathleen M. McBride	B/D Briefing: Surprise Broker Sentiment Most appear to support a fiduciary standard.
The Motley Fool March 24, 2009	Geithner and Bernanke Call for More Power Should the government have more control over financial institutions? Fools chime in with their thoughts.
Investment Advisor April 1, 2011	SEC and the Fiduciary Study: Politics and the Fiduciary Standard AdvisorOne Wealth Editor Kate McBride explains the political process under which Dodd Frank was passed, up to the SEC's reports on an SRO and fiduciary standard
Investment Advisor January 2010 Melanie Waddell	Congress Reaches Year-End Goal A House-passed bill nixes FINRA's oversight of RIAs and a comprehensive financial services reform bill likely by the end of first quarter.
Registered Rep. April 27, 2010 Kristen French	Goldman Case Boosts Odds For Fiduciary Standard In Senate Bill The Senate hearing with Goldman Sachs may increase the likelihood that a fiduciary standard for brokers will make it into Senator Christopher Dodd's financial regulatory reform legislation.
Investment Advisor November 2009	GroupThink Association news: A new universal standard of care to broker/dealers is urged... The Financial Planning Association and Janus Capital Group Inc. announced the winners of the 2009 Financial Frontiers Awards...
The Motley Fool October 20, 2009 Dayana Yochim	Report From the White House: Too Big to Fail, and Getting Bigger Here is the fourth installment of our interview with Austan Goolsbee, chief economist for the President's Economic Recovery Advisory Board.
Investment Advisor November 2007 Melanie Waddell	On the Agenda: Insurance and Ratings Congress looks at insurance reform and the subprime mess.
The Motley Fool April 14, 2010 Matt Koppenheffer	Geithner Just Doesn't Get It Treasury Secretary Tim Geithner weighs in on the financial reform package.
Financial Advisor November 2009 Jeff Schlegel	The Great Debate Financial services reform is coming. How will it impact advisors?
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.