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Financial Planning August 1, 2008 Bob Veres	The Big Regulatory Fix If the same few companies are behind virtually every major financial scandal and meltdown, why are the regulators talking about tightening up on all financial advisors?
The Motley Fool July 6, 2009 Alex Dumortier	Wells Fargo Takes on Goldman Sachs California lender Wells Fargo is set to bulk up the securities business it inherited from Wachovia. What will this mean for investors?
Registered Rep. September 10, 2008	Bank of America to Buy Its ARs Back The nation's second-largest bank by assets settled an investigation by Massachusetts regulators, agreeing to buy back $4.5 billion worth of the securities.
The Motley Fool October 21, 2011 FitzGerald & Reeves	Infographic: Goldman's Post-Crisis Crisis It's ugly out there for Goldman Sachs.
Financial Planning February 1, 2008 Bob Veres	Death by Regulation The financial planning profession is about to fight for its survival against well-funded opponents. Here are some possible outcomes.
The Motley Fool May 4, 2010 Alex Dumortier	What Buffett Didn't Tell Goldman's CEO Shortly after the SEC made public its fraud complaint against Goldman Sachs, CEO Lloyd Blankfein contacted Warren Buffett to ask for advice. Warren's been here before, but he's keeping mum.
Registered Rep. October 8, 2008	Bank of America Reaches Second Settlement To Buy Back ARS The agreement closely mirrors the firm's earlier settlement with the Massachusetts Securities Division that was announced in September, 2008.
The Motley Fool May 12, 2010 Alex Dumortier	Morgan Stanley Wishes It Weren't Like Goldman U.S. prosecutors are investigating whether Morgan misled investors in mortgage derivatives; similar to the charges against Goldman Sachs.
Investment Advisor July 2010 Melanie Waddell	A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.
Registered Rep. November 6, 2008 Christina Mucciolo	Bank Run It might be time to reconsider the stereotype of the bank broker.
Registered Rep. October 6, 2011 Andrew J. Haigney	Opinion: FINRA Is an Ineffective Regulator FINRA, the brokerage industry's self-regulatory organization, finds itself in caught up in the industry's death spiral. This non-government, private corporation's fortunes are tied to brokerage firms.
On Wall Street October 1, 2013	Five Questions with A. Heath Abshure A. Heath Abshure, the outgoing president of the North American Securities Administrators Association discusses his tenure.
Financial Advisor November 2008 Evan Simonoff	The Landscape Is Shifting, Not Shaking Two 40%-plus bear markets in one decade, an event not witnessed since the 1970s, coupled with a bursting housing bubble that triggered a credit crisis, will change investor behavior in ways that are only starting to emerge.
The Motley Fool June 17, 2010 Ilan Moscovitz & Morgan Housel	The Giant Revolving Door of Regulatory Hostage-Taking Washington reeks of Wall Street. Time to open the windows.
Investment Advisor June 2009	B/D News & Products Important news for broker/dealers: The Financial Industry Regulatory Authority (FINRA) is proposing a major expansion of its BrokerCheck service... Fraud charges against several entities and individuals who operate the Reserve Primary Fund... more...
Financial Planning October 1, 2010 Brian Hamburger	Regulation Season A look forward at the real effects of regulatory change - and they could be as unattractive as they are expensive.
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.
The Motley Fool May 11, 2011 Selena Maranjian	Sneak a Peek at Your Broker's Record Find out whether your broker has been in trouble.
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.
Registered Rep. November 8, 2011 Jerry Gleeson	Auction Rate Revenge For tens of thousands of investors who were trapped in the auction rate securities debacle that started in 2008, finances are getting back to normal.
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
Financial Advisor November 2009 Jeff Schlegel	The Great Debate Financial services reform is coming. How will it impact advisors?
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.
The Motley Fool November 11, 2011 John Reeves	Banks Promise Not to Commit Fraud ... Until Next Time Banks have been signing pledges that they do not follow through on.
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.
The Motley Fool June 9, 2010 Alex Dumortier	Does Goldman Sachs Need New Leadership? Is there a statesman in the house?
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?
On Wall Street January 1, 2013 Elizabeth Wine	10 Power Players for 2013 On Wall Street profiles the most influential personalities in the advisory industry this year.
Registered Rep. May 1, 2005 Will Leitch	So They've Got That Going for Them...Which Is Nice For all the problems it's been having in the last several months, Morgan Stanley can hang its hat on this good news: It is now the largest securities firm in the country.
Investment Advisor January 1, 2011 Melanie Waddell	FINRA Jockeys for SRO Spot as SEC Report to Congress Nears The Financial Industry Regulatory Authority is engaged in a full-court press to convince the SEC that it should be the SRO for advisors.
The Motley Fool April 19, 2010 Morgan Housel	Goldman Sachs and the Art of Ripping Your Clients' Faces Off That Paulson had a hand in helping Goldman create the CDO isn't news, nor was it a crime. The only charge is that Goldman didn't disclose this fact to the CDO buyers.
The Motley Fool October 2, 2009 Morgan Housel	The Biggest Bank Deals That Never Happened You think you've seen too big to fail? You ain't seen nothing.
On Wall Street October 1, 2010 Chris Kentouris	Finra Wants More Details When Someone Gets Canned Advisors, take note: FINRA wants broker-dealers to provide more detail on the reasons for dismissing an employee in reports to the regulator.
Investment Advisor December 21, 2010 James J. Green	FSI Endorses FINRA as SRO for Investment Advisors Dale Brown says FINRA option is "best way to address the regulatory gap."
Investment Advisor March 2008 Bob Clark	The Empire Strikes Back Wall Street's crafty response to its whipping over the Merrill rule.
On Wall Street September 1, 2010 Mark Astarita	Denying Advisors A Legal Forum As part of the Dodd-Frank Wall Street Reform Act, Congress has given the SEC the authority to prohibit or impose conditions upon the use of pre-dispute arbitration agreements by brokerage firms and federally registered investment advisors.
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.
Financial Planning May 1, 2011 Bob Veres	To the World of 2020 I'm writing this column to help you address the issue on the minds of investors and consumers everywhere in your future day and age: How can we finally fix the regulatory system after the latest traumatic events shook the markets to their core?
On Wall Street July 1, 2009 Helen Kearney	The 'F' Word Stirs Up Controversy Advisors who fall under the new fiduciary standard, namely investment advisors who run a fee-based business, must always put clients' interests before of their own.
Investment Advisor March 2007 Melanie Waddell	States' Rights The North American Securities Administrators Association's agenda includes preserving state regulators' authority.
Registered Rep. September 14, 2011 Andrew J. Haigney	Opinion: FINRA's Land Grab Provisions of the Dodd-Frank Act are effectively forcing brokerage firms to convert their retail operations to the investment advisory model. But brokers need not worry, it looks like "the fix is in."
Financial Advisor July 2011 Andrew Gluck	Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance.
Registered Rep. September 17, 2008 Geracioti & Touryalai	Morgan And Wachovia? The need for the kind of capital offered by customer deposits apparently is driving securities firms into the arms of banks.
The Motley Fool May 17, 2010 Matt Koppenheffer	Defending Wall Street The criminal investigations that are being launched against Wall Street firms are woefully misdirected.
Investment Advisor July 1, 2011 Melanie Waddell	Fiduciary D-Day Arrives As the SEC launches into rulemaking, lots of 'thorny issues' will surface.
The Motley Fool January 18, 2011 Selena Maranjian	Protect Yourself From Your Brokerage When you invest in stocks, you accept some risk. Your stocks may drop in value, shrinking your investment. That kind of risk is unavoidable, but other brokerage-related risks are not.
Financial Advisor November 2011 Evan Simonoff	What Gives At The SEC? For several decades, the Securities and Exchange Commission has contended that it does not have sufficient resources to examine and inspect RIAs. Consequently, many have concluded that Finra is the default option for all RIA regulation.
On Wall Street March 1, 2011 Lorie Konish	A Uniform Fiduciary Standard May Reduce Investment Choices The fallout from the U.S. Securities and Exchange Commission's recent recommendation of a uniform fiduciary standard rolls on. As dates for hearings hang in the air, so do the possible effects on the wealth management industry.
Registered Rep. June 1, 2008	The Real Rainmakers In total, about 50,000 securities industry employees in the United States lost their jobs this year. But not retail financial advisors; the wealth management units, by comparison, are doing very well.
Registered Rep. September 3, 2008 John Churchill	Brokers Charged In Fraudulently Selling $1bn Of ARS To Retail Clients In the first case of its kind, the SEC announced today that it has charged two individual financial advisors with fraud related to the sale of more than $1 billion in auction-rate securities.