Similar Articles

Browse Main Topics:

Business
Computers & Electronics
Education & Reference
Entertainment & Leisure
Family & Home
Finance & Investment
Health
Internet
Pets & Animals
Science & Technology
Society, Politics & Culture
Sports & Recreation

Similar Articles

Financial Advisor November 2012 Karen DeMasters	DOL Fiduciary Regulations May Be Revived U.S. Department of Labor regulations that would extend the fiduciary standard to a larger group of people advising on retirement plans are on hold for now, but they may not be dead, according to those following the fate of the proposals.
Investment Advisor June 1, 2011 John Sullivan	2011 Broker-Dealer Presidents' Poll--Slideshow Broker-dealer recruiting expert Jon Henschen talks about the state of the industry, what it means for reps and what it means for clients.
Financial Advisor June 2005 Raymond Fazzi	Regulatory Challenges Top Broker-Dealer Agenda Rarely has the potential of the financial advisory business, with a huge demographic wave of baby boomers approaching retirement, looked brighter. But never has the regulatory climate been more challenging.
Financial Advisor June 2007 Sherri Scordo	Financial Advisor's 2007 Broker-Dealer Guide Top independent broker-dealers ranked by gross revenue: LPL... AIG Advisors Group... ING Advisors Network... etc.
Financial Planning June 1, 2010 Paul Menchaca	Survivor Island Firms that endured the worst of the financial crisis and lived to tell about it.
Financial Planning June 1, 2008 Philip Palaveev	Be Careful What You Wish For Understanding the advisor and independent broker-dealer relationship.
Financial Planning June 1, 2007 Elizabeth O'Brien	FP50: Small Wonders Smaller broker-dealers vow to retain their personalized service as they pursue ambitious goals.
Financial Advisor August 2012 Karen DeMasters	The Great Migration Though they aren't moving as fast as they were a few years ago, advisors are still in play for independent broker-dealers.
Financial Planning August 1, 2008 David Grau	Worthy Successors In the financial services industry, the general term "succession planning" describes any number of plans to deal with an owner's departure from the business.
Financial Planning June 1, 2005 Juliette Fairley	FP50: Angst Over Compliance As financial advisory firms struggle to manage a raft of new regulations, they are banding together to rein in the rule-makers.
Financial Planning June 1, 2006 Joan Warner	FP50: Where the Growth Is With their market share growing 20% a year and the boomer generation's accumulated treasure to deploy, independent broker-dealers are on a prosperous path.
Financial Planning October 1, 2012 Scott Wenger	Looking to the Future: Securities America Wants to be a Leader in Retirement Income Distribution The author has a question and answer session with Securities America CEO Jim Nagengast
Financial Advisor March 2011 Jeff Schlegel	Is Uniformity Possible? Broker-dealers expect some changes if a new fiduciary standard is adopted.
Financial Planning September 1, 2006 David Spinar	Even the Playing Field Congress needs to standardize the regulations for investment advisors and broker-dealers.
Financial Planning November 1, 2007 David Grau	Protecting Equity As independent advisors move to evaluate, build and realize the equity in their growing practices, one holdover succession practice threatens to undermine their progress.
Financial Planning June 1, 2007 Marshall Eckblad	FP50: Behind the Numbers Revenues among the top 50 broker-dealers soared, costs fell and reps took home more money than ever. But the biggest winners in this year's survey were fee-based products.
Financial Planning November 1, 2010 Trone & Harvey	The New Rules of the Road The following four regulatory reforms will likely have the most impact on the financial services industry over the next 24 months. Here's a short synopsis of what they will require.
Financial Planning June 1, 2008 Donald Jay Korn	All Systems Go Clients and income hold steady in the financial services industry.
Investment Advisor July 1, 2011 John Sullivan	Raising the Bar Top reps with Financial Network Investment Corporation are mad as hell about the state of the BD industry -- and they're not going to take it anymore.
Financial Planning June 1, 2005 Robert Hertzberg	FP50: The Profit Dilemma Independent broker-dealers get by on notoriously thin margins--but an examination makes it clear that 2004 was the best year in a while.
Financial Advisor June 2007 Raymond Fazzi	Follow The Money Broker-dealers sum up the future of advisory services in two words: rich folks.
Financial Advisor September 2012 Jeff Schlegel	Not Making The Grade Financial advisors aren't as fiduciary as they should be, a new survey finds.
Financial Advisor February 2010 Sherri Scordo	Frontline News Financial Services News: Branch Managers Break Away To Independence... Call For Fiduciary Standard Unites Disparate Forces (Sort Of)... Independent Contractor Status Under Review... Retirement Planning Industry To Be A Top Performer In New Decade... more...
Financial Advisor January 2006 Tracey Longo	Working Smarter, Not Harder As more independent broker-dealers set themselves up as strategic outsourcing partners, they are finding bigger and better firms driven to their door by stagnant or shrinking profit margins and the accelerating compliance melee.
Financial Planning October 1, 2010 James E. Warren Jr.	Beyond the Payout Eight critical points that every financial advisor contemplating a change of affiliation should consider.
Financial Planning September 1, 2010 Trone & Harvey	Sweet Harmony Industry and regulators can feel comfortable that a fiduciary standard need not be cumbersome, but should, when properly crafted, significantly improve how investment decisions are prudently managed.
Financial Advisor April 2009 Jeff Schlegel	Fiduciary Fracas People from all corners of the financial services industry are weighing in with their ideas about the future shape of the industry, including thoughts about whether all financial advisors should be held to the fiduciary standard of client care.
Financial Planning June 1, 2007 Donald Jay Korn	FP50: Pressure Points It's a great time to be in financial services. But broker-dealers' challenges are growing as fast as their opportunities.
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.
Registered Rep. July 8, 2011 Jodie Papike	What To Do When You Smell a Storm Coming At Your B/d New technology and today's 24-hour media cycle have put advisors in a much better position to sniff out trouble at their broker/dealer.
Financial Planning July 1, 2010 Marion Asnes	Envestnet's Fiduciary Opportunity Bill Crager, president of Envestnet, is not going to wait for Washington to figure out the fate of the fiduciary standard. The way he sees it, the market has already spoken.
Financial Planning July 1, 2006 Donald Jay Korn	What's in it for YOU Broker-dealers are ramping up their recruiting efforts and courting top planners. Here's what they're looking for -- and what they're putting on the table.
Financial Planning June 1, 2009 Paul Menchaca	Oh, the Drama The broker-dealers who spoke to Financial Planning in this year's annual survey are busy negotiating the downturn by improving their infrastructure, expanding through recruitment and eyeing an economic rebound.
Financial Planning June 1, 2005 Harold Evensky	The New 'F' Word A new group would irrefutably link the concept of "fiduciary" to financial advice.
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.
Registered Rep. March 23, 2011 Philip Palaveev	How To Handle An Imploding Broker/Dealer As we watch one independent broker/dealer after another succumb to regulatory action, financial problems or consolidation, many advisors are questioning the security of their very livelihoods.
Financial Planning June 1, 2013	How the FP50 List Was Compiled The results of Financial Planning's 28th annual survey of independent broker-dealers are based on data provided by 78 participating firms.
Financial Advisor November 2010 David Lawrence	Back In The Fold? Will the new regulations force independents to return to broker-dealers?
Financial Advisor January 2007 Tracey Longo	Allure Of Independence Remains Bright Independent broker-dealers step up their recruiting efforts among reps and the already liberated.
Financial Planning June 1, 2008	FP 50: Survey Results, 2008 The biggest & fastest growing independent broker-dealers in 2008.
Financial Advisor December 2009 Eric Rasmussen	Big Guys Fight Back Broker-dealers try to find their bearings in 2010 as their antagonists push back.
Financial Advisor January 2006 David L. Lawrence	Focusing On Income Evolving your practice into a retirement distribution practice does not mean that you have to abandon your accumulation clients. The challenge is to meld both types of clients into a practice in a way that is both efficient and profitable.
Financial Planning June 1, 2005 Black & Liptow	FP50: The Rising Tide Among the 50 largest independent financial advisory firms--this year's FP50--revenues and assets under management were up, and losses were down. The leaders are holding their top slots, while many newbies are growing at a dramatic clip.
Investment Advisor July 1, 2011 James J. Green	Complying With Uncertainty The time and expense of compliance has a greater impact on the rule followers than it does on the rule breakers.
Financial Planning February 1, 2011 Matt Lynch	Fiduciary Freedom The growing voice of financial advisors demanding to be emancipated from the artificial limitations placed on them by outdated broker-dealers is finally being heard.
Investment Advisor April 1, 2011 Jonathan Henschen	Making the Case for Midsized Broker-Dealers Between financial viability and less cumbersome compliance burdens, midsized BDs have a lot going for them
Financial Planning November 1, 2005 Kathy Gevlin	White Paper Almost all of the RIAs surveyed in this poll believe that the new SEC broker-dealer exemption rule, which allows broker-dealers to offer fee-based investment advice without complying with the fiduciary and disclosure standards of the Investment Advisers Act of 1940, is harmful to investors.
Investment Advisor May 1, 2011 John Sullivan	Catching up with... Joe Richard "The difference is we're smaller," says Joe Richard, when asked what, specifically, Wall Street Financial Group does better than anyone else.
On Wall Street November 1, 2012 Mason Braswell	Regulators Cite Trouble Spots Are firms doing all they can when it comes to handling material non-public info?
Investment Advisor October 2010 Melanie Waddell	About Those Other SEC Studies ... Among the litany of studies that the SEC is charged with conducting under the Dodd-Frank Act, the advisory industry will be greatly affected by about five of them.