| Similar Articles |
|---|
 |
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.   |
Financial Planning
October 1, 2011
Bob Veres |
Fiduciary for All If we want to clean up the financial services world, we're going to have to change our tactics. The more I look at our political system, the less likely it seems Congress would ever vote to rein in Wall Street's predatory behaviors. |
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? |
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. |
Financial Planning
October 1, 2013
Bob Veres |
Wish List: 27 Changes That Would Help Advisors In which we make a few modest requests for the health of the profession as well as the financial services industry. |
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? |
Geotimes
May 2004
Kendy & Vranes |
Breaking Down the Barriers: A Two-Part Series, Part II Part two in a series on how to effectively lobby your members of Congress. |
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
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. |
The Motley Fool
June 14, 2011
Rich Smith |
Dear Congress: Please Stop Robbing Us It's time to pass the Stop Trading On Congressional Knowledge Act. |
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. |
Geotimes
April 2004
Kendy & Vranes |
Breaking Down the Barriers: A Two-Part Series, Part 1 Although it is a tired cliche, knowledge is power, and nowhere is that more true than in legislative politics. Your members of Congress cannot do their jobs without citizens' input. In other words, they need to be lobbied. |
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. |
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. |
Registered Rep.
June 15, 2010
Kristen French |
Fiduciary Duty For All Hangs On Senator Tim Johnson After months and months of public debate and back-room deal-making, a final outcome on fiduciary duty -- the biggest issue for financial advisors, stockbrokers and wealth managers in the Wall Street reform bill -- may be decided Wednesday. |
The Motley Fool
June 17, 2011
Morgan Housel |
Why Congress Loves Bank Stocks Little wonder that in a world where Congress can legally trade on inside information, the most faith is put in companies where Congress' actions influence most of the outcome. |
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
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 |
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. |
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
January 5, 2008
Glenn G. Kautt |
Are You Certifiable? As regulators turn up the heat on the planning profession, can you meet the highest fiduciary standards available today? |
Financial Planning
September 1, 2006
David Spinar |
Even the Playing Field Congress needs to standardize the regulations for investment advisors and broker-dealers. |
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. |
The Motley Fool
November 18, 2011
Rich Smith |
Why Congress Can't Stop Stealing Salary of rank-and-file members of the U.S. Congress: $174,000. Average annual Civil Service Retirement System benefits for retired members as of 2007: $63,696. But the profits they can make by trading on inside information? Priceless. |
Salon.com
March 12, 2001
Joyce Millman |
The death of Buffy's mom An amazing, buzz-heavy episode takes the most daring show on TV to a new level... |
Investment Advisor
September 2009
James J. Green |
Fiduciary Committee Huddles with SEC The Committee for the Fiduciary Standard held face-to-face-meetings with two SEC Commissioners, Congressional staffers, and a Treasury Department official to discuss the Committee's five fiduciary principles. |
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. |
Financial Planning
March 1, 2011
Bob Veres |
Gold Into Straw In mid-January, the SEC released its "Study on Investment Advisers and Broker-Dealers" to Congress. Analyzing the study provides an insightful look into how the SEC views the "harmonization" of two different regulatory structures. |
Inc.
July 2005
Jim Melloan |
Angels With Angles Angel investors are changing. Here's what they're looking for, how they operate, and what they expect for their money. |
Registered Rep.
June 25, 2010
Kristen French |
The Final Wall Street Reform Bill And You After a herculean 20-hours straight of negotiations, Congressional committee members agreed Friday morning to a Wall Street reform package that will be much tougher on the country's banks. |
Wired
November 2000
David Corn |
Filegate.gov The biggest Congressional scandal of the digital age: Politicians aren't putting public docs on the Net, and no one seems to care... |
National Defense
December 2010
Nathaniel H. Sledge Jr. |
Military Spending: How Much Defense Will the American People Support? The American public must become better educated about the budget process and national security. Citizens should be aware that the current trends of government spending can be ruinous and unsustainable. |
