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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.
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 July 1, 2011 Bob Clark	If You Want Something Done Right It's beginning to look like the only way Dodd-Frank reregulation is going to turn out well is if RIAs form their own SRO.
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.
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 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?
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.
Investment Advisor May 1, 2011 Kathleen McBride	SEC and the Fiduciary Study: Where Do We Go From Here? It's not whether to extend fiduciary duty, but how to extend it
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
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 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 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.
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.
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 Planning November 1, 2006 Bob Veres	Fiduciary Fire Index At the start of the new year, the Pension Protection Act will go into effect and expose all over again the fact that, although we all like to talk about fiduciary standards, there really isn't any consistent definition of the term.
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.
On Wall Street June 1, 2013	Fiduciary Standard Debate Heats Up As federal regulators move ahead with a pair of rulemaking proceedings that could dramatically reshape the financial advisory industry, advocates of broader fiduciary responsibilities are urging advisors to make their voices heard in Washington.
Financial Advisor March 2011 Jeff Schlegel	Is Uniformity Possible? Broker-dealers expect some changes if a new fiduciary standard is adopted.
Financial Planning June 1, 2011 Bob Veres	Things I Just Don't Understand Is there any profession, anywhere, that's raised its own standards voluntarily, identified and reduced its own conflicts of interest voluntarily and lobbied harder on behalf of consumer protections than the financial planning profession over the past 30 years?
Financial Planning March 1, 2008 Bob Veres	Deconstructing Rand A report written by the Rand Corp. will help the SEC's staff decide who should and should not be registered as an registered investment advisor, and to determine whether investors understand the differences between and relationships among broker-dealers and investment advisors.
Financial Planning June 1, 2007 Bob Veres	Victory, for Now Brokerage firms have little choice but to adapt to a world in which their traditional service -- clearing trades and executing transactions -- has become "solely incidental" to the increasingly valuable business of providing advice.
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 Planning September 1, 2006 David Spinar	Even the Playing Field Congress needs to standardize the regulations for investment advisors and broker-dealers.
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 Advisor July 2011 Andrew Gluck	Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance.
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.
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 December 1, 2009 Harold Evensky	Clients First It is imperative that an honest, universal fiduciary standard incorporate basic principles designed to protect clients -- not brokers, advisors, or their employers.
Investment Advisor August 2009 Bob Clark	Clark at Large: Something About Mary The drive to reregulate financial advice shifted into high gear on June 17, when the Obama Administration released its white paper containing proposals for 21st Century Financial Regulatory Reform, and passes it to SEC chair Mary Shapiro.
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 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 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.
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 March 2010 Bob Clark	Clark at Large: Hope and Change Is financial reregulation moving in the right direction?
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.
On Wall Street July 1, 2010 Frances A. McMorris	Confusion Reigns Among Wirehouse Advisors On The Fiduciary Issue With all the frenzy over the call for a universal fiduciary standard for all financial and investment advisors, it appears that those in the wirehouses don't really understand the debate.
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?
Financial Advisor October 2012	Stalled: Tougher Fiduciary Standard For Brokers Even with Wall Street and consumer advocates allied in pushing for it, a U.S. Securities and Exchange Commission proposal to raise standards for brokers advising retail investors has run aground.
Registered Rep. September 15, 2010 Kristen French	Investors Think Insurance Agents, Brokers Are Fiduciaries Investors believe everyone who provides financial advice is already a fiduciary, according to a survey released Wednesday by a group of investment adviser and consumer protection groups.
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.
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.
Financial Planning September 1, 2013 Bob Veres	Fighting the Industry's Financial Terrorism The claim that imposing a fiduciary duty on advisors will cause middle-income individuals to lose access to financial help is, quite simply, not believable.
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 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 Advisor May 2006 Andrew Gluck	New Rule Causes Software Schizophrenia New financial software programs for advisors reflect the difference between fiduciary and suitability requirements.
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 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.
Investment Advisor February 2008 Melanie Waddell	A Busy Year in Washington Now that the Rand report assessing the advisory and broker/dealer industries has been released, No doubt advisors and brokers will be anticipating any possible regulatory actions that the SEC may take.
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.