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Investment Advisor February 2010 Marlene Y. Satter	Broker/Dealer Briefing: New Leader for FSI A short conversation with Mari Buechner, CCO and CEO of Coordinated Capital Securities, and the new chair of the Financial Services Institute.
Investment Advisor March 2007 James J. Green	Silver Lining Despite the silver lining benefits, the financial advisor community can't just react to regulators and legislators. It must be proactive.
Financial Advisor November 2010 David Lawrence	Back In The Fold? Will the new regulations force independents to return to broker-dealers?
Financial Advisor September 2005 Bruce W. Fraser	How To Survive The SEC Assault Advisors cite a new, more demanding compliance environment. Despite the extra financial and time burden, many advisors feel much better about their businesses, having gone through the compliance process.
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 November 2004 Evan Simonoff	Editor's Note Big government gets bigger, especially for the financial advisor. Unfortunately, many regulators barely understand the difference between stockbrokers, financial planners and investment advisors.
Investment Advisor August 2008 Thomas D. Giachetti	The Three Troubling Themes How to combat compliance misunderstanding and misdirection.
Registered Rep. November 1, 2006 Susan Konig	A Big Trade Off? For advisors looking for further independence through a registered investment advisory firm, compliance burdens can increase. Reps working under an independent b/d's umbrella RIA, also known as "dually registered" advisors, must comply with both NASD and SEC rules.
Registered Rep. October 28, 2015	TD Ameritrade Institutional: Helping a Diverse Industry Find a Common Voice TD Ameritrade Institutional has made it their mission to press for the kind of recognition and collective influence afforded other professional industries.
Registered Rep. April 7, 2011 Kristen French	Switching To Independent Model Keeps Up Pace Migration to the independent financial advisor model -- independent b/ds and RIAs -- is likely to continue unabated in 2011.
Financial Planning March 1, 2008 Stacy Schultz	5 Questions with Melaine Kimmel Five questions about Kaplan Financial, which provides education and compliance solutions for financial professionals, advisors, agents, registered reps, and their supervisors.
Registered Rep. November 1, 2006 Halah Touryalai	The Indie Man An interview with John Simmers, CEO of ING Advisors Network, about his multiple duties, including issues facing his firm and others like it, as well as recent attacks on the NASD's credibility as a voice for small firms.
Financial Advisor March 2012 Brian Hamburger	Success Breeds Envy Wirehouses and banks wage their most successful battle yet against RIAs.
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.
Financial Advisor March 2005 Tracey Longo	The Watchdog Inside Your Firm The SEC is making your chief compliance officer a whistleblower. Advisors' success with regulators in 2005 will depend largely on whether they trip themselves up or are able to create a business model that is better aligned with their clients.
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.
Investment Advisor October 2008 Bob Clark	The Real Deal MarketCounsel is focused on taking the independent advisory model to the next level.
Investment Advisor February 2009 Melanie Waddell	Teaming Up for Change The National Association of Personal Financial Advisors, the Financial Planning Association, and the Certified Financial Planner Board of Standards -- which have joined forces to lobby Congress on financial services reform -- christen themselves the Financial Planning Coalition.
Financial Planning August 1, 2013 Keith Johnson	How Advisors Can Rebuild Trust Five years after the meltdown, advisors still face a crisis of confidence.
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 May 2010 Bill Bachrach	What Lower Standards Bring A lack of fiduciary standards for the industry means that as an advisor you have a competitive advantage when you put the client first.
Registered Rep. December 16, 2011 Jerry Gleeson	Compliance Outsourcing Gains Favor With RIAs Charles Schwab's RIA Benchmarking Study this year reports that 38 percent of firms were outsourcing their compliance functions, up from 27 percent in 2010.
Investment Advisor June 2007 Kathleen M. McBride	Interesting Times Independent broker/dealers find opportunity in the face of changing winds.
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.
Investment Advisor June 2008 McBride & Roberts	The Presidents Speak Recruiting and building margins are top challenges for independent broker/dealers today.
Financial Planning September 1, 2007 Bob Veres	The Dual Reality The FSI and independent broker-dealer community have become pivotal voices in the profession. What they see in the future might surprise you.
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.
Financial Planning February 1, 2010 Donna Mitchell	More Money in Motion During the financial crisis, the majority of high-net-worth clients maintained accounts with at least two financial advisors, Boston-based Cerulli Associates said in a January report.
Investment Advisor January 1, 2011 John Sullivan	State of Regulation: A Conversation with FSI's Dale Brown The Financial Services Institute will branch out to help advisors with small business issues.
Investment Advisor October 2007 K. McBride & K. Stapleton	Birds of a Feather More than ever, the professional associations that cater to financial planners and advisors are having a meaningful impact outside the planning community itself, among consumers, in the courts, and on Capitol Hill.
Registered Rep. March 29, 2012 Jerry Gleeson	Social Media Works, Advisors Say Social media is gaining momentum with financial advisors, new research by Registered Rep. and wealthmanagement.com shows.
Financial Advisor June 2004 Tracey Longo	Compliance Overload A white-hot regulatory agenda is bedeviling independent broker-dealers in the U.S.
Investment Advisor June 2010 Marlene Y. Satter	Tenacity The financial crisis gave independent B/Ds a drubbing from which they've yet to fully recover, according to the IA 2010 broker/dealer survey.
Financial Advisor	Frontline News Independent B-Ds Inside... States Gear Up To Examine More Advisors... IRS To Regulate All Tax Preparers... Guggenheim To Buy Security Benefit... RIA M&A Activity Down In '09... Majority Of Advisors See Growth In '10... more...
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.
On Wall Street October 1, 2008 Danny Sarch	Seven Reasons Why Advisors Move A firm that's hemorrhaging money isn't the only reason advisors leave. Company polices and management attitudes also play a part.
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.
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.
Registered Rep. November 1, 2007 Erik Kolb	Fighting The Brand X Syndrome How do independent advisors choose a broker/dealer firm to work for? Since most firms offer similar services, the decision usually comes down to "squishy" qualitative factors, like feel, culture and personal touch.
U.S. Banker August 2008 Michael Sisk	Banking's Private Equity Conundrum Despite the gnashing of teeth among regulators that private equity shops are secretive and will wreak havoc if let loose on the banking industry, it's a bit ironic how opaque the regulatory process itself is.
Registered Rep. February 7, 2012 Diana Britton	Are Regulations Killing the Hybrid Financial Advisor? Some advisors say new compliance and regulatory burdens under Dodd-Frank are making the hybrid model untenable.
Registered Rep. September 4, 2013 David Armstrong	Editor's Letter: September 2013 Most advisors decide to move not because they are wooed to greener pastures, but because pain points inside their current environment have become too great.
Financial Advisor July 2009 Sherri Scordo	Compliance Concerns There's a lot of buzz these days about potential changes in compliance rules and the impact on advisors.
Investment Advisor October 2007 Bob Clark	Difference of Opinion A debate about a major issue facing many advisory firms, namely, the conflicting interests they must wrestle with when deciding how to handle defecting advisors who leave the firm, taking clients with them.
Registered Rep. May 26, 2006 Halah Touryalai	NYSE Cautions Investors on Following Brokers to New Firms The release is part of the "Informed Investor" series developed by the NYSE Regulation to better educate investors. The announcement comes at a time when more reps are choosing to switch firms than at any time since 2002.
Investment Advisor September 2008 Eric Schwartz	B/D or RIA? The Case for the Flexible B/D How independent broker/dealers and advisors can thrive by leveraging the trends of the future.
Registered Rep. November 5, 2012 Scott Smith	Look Before You Leap The very benefits IBDs have used to lure advisors may actually be their undoing.
Financial Advisor March 2012	Wirehouses Still King Of The Hill Despite headlines about breakaway brokers and the ascendency of the independent, fee-based advisory model, the Big Four wirehouses are still holding their own.
Financial Planning September 1, 2012 Bob Veres	Why Doesn't the RIA Community Come Up With Better Proposals? Instead of fighting against bad proposals, shouldn't the RIA community be proposing better alternatives? We assume that the goal of the Dodd-Frank Act is to tighten up lax RIA regulation.
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.