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Investment Advisor July 2010 Melanie Waddell	A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.
Registered Rep. August 19, 2009 Christina Mucciolo	Haggling Over The F Word Continues Regulators, consumer advocates and politicians continue to hammer out what it might mean for Series 65 investment advisors and series 7 registered reps to adhere to the new fiduciary standard.
Investment Advisor July 2009 Melanie Waddell	Regulatory Reform Angst It's clear that advisors are worried about the impact of regulatory reform measures.
Registered Rep. April 18, 2012 Diana Britton	Tiburon's Roame: Less of a Breakaway Trend, More of a `Broken-Away' Trend Whether you agree with him or not, Chip Roame, managing principal of Tiburon Strategic Advisors, is not afraid to tell you exactly how he sees it when it comes to the financial services industry.
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.
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.
Registered Rep. December 21, 2012 Megan Leonhardt	Looking Back, 2012 A Mixed Bag For Wirehouses Assets mostly were up, but advisors are on the move.
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.
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.
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.
Financial Advisor November 2009 Jeff Schlegel	The Great Debate Financial services reform is coming. How will it impact advisors?
Investment Advisor December 2009 Kathleen M. McBride	B/D Briefing: Surprise Broker Sentiment Most appear to support a fiduciary standard.
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.
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.
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.
Registered Rep. October 6, 2009 Kristen French	FSI Urges Alternatives To Proposed Investor Protection Act The Financial Services Institute recommends closing regulatory gaps between the two sides of the industry, and suggested that an industry-run, rather than a government-run, regulator would be best for the job.
Registered Rep. December 11, 2009 Kristen French	House Passes Regulatory Reform, SRO Up In The Air The Wall Street Reform and Consumer Protection Act of 2009 passed by a narrow margin. But it will still be a long time before the regulatory future for broker/dealers and investment advisers is clear.
Investment Advisor May 2008 Melanie Waddell	Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers.
Investment Advisor May 2010 Melanie Waddell	Schapiro Speaks on Fiduciary, 12b-1s In an exclusive interview, the SEC Chairman speaks her mind.
Registered Rep. May 1, 2007	The Great Reckoning Whatever the specific business impact the Merrill Lynch ruling may have, many see the return to pre-1999 rules as a chance for the brokerage industry, which has long avoided fiduciary duty for business and regulatory reasons, to overcome those obstacles and embrace it.
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 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 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.
Registered Rep. July 15, 2011 Kristen French	SIFMA Wants Fiduciary Standard Governed By Client Contracts Broker/dealer trade group SIFMA fired off the latest round in the ongoing tangle over the fiduciary standard Thursday. The group sent a letter to the SEC that recommends creating for broker/dealers a modified version of the fiduciary standard that currently governs investment advisers.
Registered Rep. November 6, 2008 Christina Mucciolo	Bank Run It might be time to reconsider the stereotype of the bank broker.
Registered Rep. February 15, 2012 Diana Britton	More Advisors Fleeing Morgan Keegan Morgan Keegan has lost seven financial advisors since December, FINRA filings show. They follow some 190 other advisors who fled over the past six months.
Investment Advisor March 2006 Melanie Waddell	Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away.
Investment Advisor December 2009 Melanie Waddell	Danger & Opportunity: Staggering Toward Reform Investor Protection Act passes with lots of fiduciary-related amendments; action on Dodd not likely until 2010.
Registered Rep. December 3, 2013 Megan Leonhardt	Out From Under A rising market lifts many spirits, including advisor satisfaction with the firm that employs them.
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. October 5, 2009 Kristen French	Citi Bank Brokerage Converts To All Fees Citigroup announced that it would convert its small North American bank brokerage business completely to a fee-on-assets-based fiduciary advice system, and would stop collecting commissions on stock and fund sales.
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 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.
On Wall Street June 1, 2011 Lorie Konish	Dodd-Frank Prompts Brokerage Industry to Increase Lobbying Efforts With many issues surrounding the Dodd-Frank Wall Street Reform and Consumer Protection Act set to come to a head in the next year, advocacy is more important than ever for financial industry groups.
Registered Rep. November 4, 2011 Kristen French	Indie Exodus: Overhyped? In 2009, in the wake of arguably one of the biggest financial crises this country has seen since the Great Depression, over 3,000 financial advisors left Merrill Lynch, UBS, Morgan Stanley and Wells Fargo to start life over at an independent broker/dealer or RIA firm.
Investment Advisor July 2010 Bob Clark	Clark At Large: Done Deal Even without a mandated fiduciary duty for all who give advice, the cat's out of the bag.
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.
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. December 8, 2015	2015 Broker Report Card: Show Me The Money Advisors' gross production varied widely by firm in this year's survey results.
On Wall Street July 1, 2010 Frances A. McMorris	The Burgeoning Battle For The Best And The Brightest What are the wirehouse behemoths doing to keep their advisors happy, attract others, and, in turn, maintain the bulk of high-net-worth client assets?
Investment Advisor May 2007 Kathleen M. McBride	Exemption Vacation "To be, or not to be?" a fiduciary is the question of the hour for broker/dealers.
Registered Rep. June 30, 2010 Christina Mucciolo	Clients, though Mostly Satisfied, in the Dark about FA Fees, Says Study Overall advisors and investors are still confused about what the advisors' fiduciary responsibility is exactly.
On Wall Street August 1, 2010 Frances A. McMorris	Wirehouses: Not Backing Down From the Fight Banged up and bruised from the financial crisis, wirehouses are beginning to fight back.
Registered Rep. June 5, 2012 Diana Britton	A Regional Resurgence After years of being considered acquisition targets, regional broker/dealers may be making a comeback.
Registered Rep. February 2, 2006 Kristen French	Brokers Learning to Play by New Rules It's no longer business as usual on Wall Street. Starting yesterday, broker/dealers must follow a new SEC rule that requires them to disclose at certain times that they may not be acting in their clients' best interest.
Investment Advisor December 2007	News & Products, December 2007 FINRA fined Oppenheimer Co., Inc. $1 million... Compliance officers at broker/dealer firms will have a chance to discuss new and changing regulations... Christine Nigro has been promoted to president of AXA Advisors, LLC... etc.
Investment Advisor August 2010 Melanie Waddell	Broker/Dealer Marketing: Finding Their Voice Broker/Dealers are waking up to the new, post-downturn marketing environment. Here are a few of the best ideas.
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 June 2009 Russ Diachok	Survival of the Fittest An assessment of who will succeed -- and fail -- among the independent B/D ranks.
Registered Rep. December 2, 2014 Megan Leonhardt	Drivers of Advisor Satisfaction: Technology And Efficiency Financial advisors are known to harbor a strong streak of independence and autonomy, and aren't shy when it comes to letting their opinions be known, both good and bad.