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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.
Financial Advisor November 2009 Jeff Schlegel	The Great Debate Financial services reform is coming. How will it impact advisors?
Financial Planning March 1, 2011 Donald B. Trone	All for One... A uniform fiduciary standard of conduct, coupled with harmonized regulations, should dramatically improve the process for investors.
Financial Advisor March 2011 Jeff Schlegel	Is Uniformity Possible? Broker-dealers expect some changes if a new fiduciary standard is adopted.
Registered Rep. June 19, 2012 Diana Britton	Whose Suitability Standards? In early 2011, the SEC completed a study, mandated under Dodd-Frank reform legislation, which recommended extending to brokers who advise retail clients the same fiduciary standard that now applies to investment advisors.
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.
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.
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.
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 Planning September 1, 2006 David Spinar	Even the Playing Field Congress needs to standardize the regulations for investment advisors and broker-dealers.
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.
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 Advisor July 2011 Andrew Gluck	Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance.
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.
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 March 1, 2010	What's Happening to Regulation? Whether we like it or not, we do live in a post-Madoff world, and it's impossible to separate his crimes from the dialogue surrounding regulatory reform.
Investment Advisor May 1, 2011 Bob Clark	The Polar Bears Thawing out our modern black and white thinking could save the fiduciary standard. I don't usually write about politics, except when it has a direct impact on financial advice, and this appears to be one of those times.
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 March 1, 2011 Kathleen Mcbride	SEC and the Fiduciary Study: The Process Why the fiduciary standard became such a hot topic for regulators
Investment Advisor March 1, 2011 Bob Clark	A Study in Flexibility SEC's Study on Investment Advisors and Broker-Dealers leaves too much wiggle room to declare victory yet.
Investment Advisor June 2008 Mark Tibergien	Truth and Consequence Are more regulations for the financial services sector really needed, or just better enforcement of what's now on the book?
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.
Registered Rep. March 1, 2008 John Churchill	Fix Advisor Laws! Laws should reflect the fact that the differences between registered reps and registered investment advisors have largely evaporated.
Investment Advisor July 2010 Melanie Waddell	A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.
Financial Planning April 1, 2012 John K. Ritter	Fight On There is a major fight going on between planners and regulators about how to define and apply a fiduciary standard. Yet despite the high stakes, it seems that few planning professionals have chosen to join in and make their opinions known.
Registered Rep. January 1, 2007 Alan Lavine	Fish or Fowl? Are equity-indexed annuities securities or insurance? The NASD offered only loose recommendations to member firms about how sales of this product should be conducted and supervised, but most broker/dealers are implementing them anyway.
On Wall Street February 1, 2011	Five Questions With David Massey The deputy securities administrator for the state of North Carolina, began a one-year term as president of the North American Securities Administrators Association in September.
Finance & Development September 2009 Randall Dodd	Overhauling the System The United States is proposing the most radical reform of financial regulation since the New Deal.
Financial Advisor May 2006 Andrew Gluck	New Rule Causes Software Schizophrenia New financial software programs for advisors reflect the difference between fiduciary and suitability requirements.
Financial Advisor October 2010 Scott A. MacKillop	One Standard, Period The debate over the fiduciary standard should be about clients - and it would be over in a heartbeat if it were.
Financial Planning June 1, 2008 Bob Veres	The Plan This is an interim report on the market share erosion experienced by our Wirehouse ("Member") firms versus "fiduciary" and "consumer-focused" financial planners.
Investment Advisor March 1, 2011 Melanie Waddell	SEC Fiduciary Rule May Hit by Summer Despite the advisory industry's hopes that the Securities and Exchange Commission would get a quick start on writing a rule to put brokers under the same fiduciary standard as advisors, it looks as though a rulemaking could come by summer.
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.
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.
Financial Advisor November 2005 Tracey Longo	The Embattled Broker Exemption Rule While advisors talk a good game about their desire to see consumers protected by meaningful regulation, the Financial Planning Association remains the sole litigant in its lawsuit against the Securities and Exchange Commission's so-called Merrill rule.
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 Planning February 1, 2012 John F. Wasik	State of Regulation As states take over regulation of RIAs with up to $100 million in assets under management, many firm owners are wondering if the transition will prove difficult.
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.
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.
Registered Rep. June 17, 2009 Christina Mucciolo	The Fiduciary Battle Continues, Now Under Federal Microscope Among other measures, the Obama administration proposed today that the Securities and Exchange Commission require that broker-dealers offering investment advice be held to the fiduciary standard rather than the suitability standard.
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 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 February 2009 Melanie Waddell	Is Mary What the SEC Needs? The alternative to FINRA overseeing advisors, and what advisors would definitely prefer, is a self-regulatory organization.
Investment Advisor November 2006 Thomas D. Giachetti	Defining Fiduciary What is a financial advisor's true fiduciary duty?
Investment Advisor August 2010 Melanie Waddell	Advice to the SEC When it comes to the fiduciary standard, Capital Analysts President and CEO Matt Lynch says advisors "want to be sure the SEC seeks and gathers input from the industry as to how to implement these important changes."
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.
On Wall Street August 1, 2010	Five Questions With Richard G. Ketchum The Chairman and CEO of FINRA discusses financial reform and a single fiduciary standard.
Investment Advisor September 2010 Thomas D. Giachetti	The Compliance Coach: Will the SEC Ever Learn? Don't Count On It Get ready for new custody and ADV rules, and the $100 million threshold.
Investment Advisor June 2006 Elizabeth Festa	B/d Briefing: Regulating Annuity Sales The NASD is taking steps to assess oversight of the sales of all types of annuities by the patchwork quilt of regulatory agencies overseeing the products and move toward a level playing field of regulation without formulating any new rulemaking of its own.
Financial Advisor March 2008 David Lawrence	A Higher Standard It is incumbent on all financial advisors to acknowledge their potential role as a fiduciary and act accordingly where and when applicable. So, that leads to a question of just what a fiduciary does during a typical day.