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Registered Rep. September 1, 2004 |
The Blame Game When is a broker or a financial planner a fiduciary?... Should I seek separate legal counsel or allow my former firm's attorney to represent me?...  |
Registered Rep. October 1, 2006 Ann Therese Palmer |
Agent or Fiduciary? Q: I underwent a grueling arbitration hearing this year. One point the complainant's attorney tried to make was that I had acted in a fiduciary capacity... A: The designation "fiduciary" used to mean something special in both the legal and the brokerage worlds...  |
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.  |
Commercial Investment Real Estate Nov/Dec 2004 Honigberg & Krishnan |
Duty Bound A couple of recent cases illustrate that brokers' actions can sometimes lead to liability.  |
On Wall Street December 1, 2009 Mark Astarita |
Brokers as Fiduciaries -- Much Ado About Nothing There is a battle cry to place a fiduciary obligation on retail brokers. But the real question is: What difference will it really make?  |
Investment Advisor March 2008 Melanie Waddell |
Figuring Out Fiduciary What, exactly, does fiduciary advisor mean? How can an advisor know for sure if he's fulfilling his fiduciary obligations? Are there any real guidelines?  |
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 December 2009 |
Walking the Fiduciary Line on Retirement Retirement plans and their participants may need to use separate advisors who are separate fiduciaries, devoid of the potential for conflicts.  |
Investment Advisor November 2006 Thomas D. Giachetti |
Defining Fiduciary What is a financial advisor's true fiduciary duty?  |
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 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.  |
Investment Advisor May 1, 2011 |
More Than Kin, Less Than Kind Legitimate questions raised by Republicans should be answered. The problem is that the incestuous relationship the SEC has with the industry does not allow a frank discussion of what regulatory reform means to the consumer for fear of criticizing the industry's current state.  |
Investment Advisor March 2010 Bob Clark |
Clark at Large: Hope and Change Is financial reregulation moving in the right direction?  |
Financial Advisor July 2004 Tracey Longo |
Can Prudent Practices Save Your Business? A new booklet outlines the steps fiduciaries should follow. Ignore the book at your own peril: It's already been used decisively in two lawsuits against advisors.  |
Investment Advisor May 2007 Bob Clark |
We Win, Sort Of How the FPA can make the most out of its upset victory over the SEC.  |
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.  |
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 September 1, 2009 Donald B. Trone |
Fiduciary Facts Separating fact from fiction for the fiduciary standard Obama has recommended applying to all advisors providing investment advice.  |
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. May 28, 2010 Jake Zamansky |
Wall Street Will (Again) Kill The Passage of a Fiduciary Standard While the House financial reform bill includes a fiduciary standard for brokers in limited circumstances, I'm fairly certain history will repeat itself and the provision will mysteriously and entirely disappear when the House and Senate reconcile their respective bills.  |
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.  |
Financial Advisor December 2009 David Lawrence |
Standards Of Care Fiduciary concepts are having a bigger impact on the financial services industry and your practice.  |
Registered Rep. July 9, 2010 Jerry Gleeson |
Broader Fiduciary Standard Could Kick Up B/d Insurance Bills Will a broader application of the fiduciary standard be accompanied by higher insurance costs? Some broker/dealers are bracing for the possibility.  |
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 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  |
CFO Kris Frieswick |
Prudent Man With A Plan Most 401(k) reforms before congress don't address a critical source of risk: fiduciary duty.  |
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.  |
The Motley Fool June 22, 2006 Dan Caplinger |
Where's My Money? What to do when your fiduciary isn't getting the job done. In any situation involving potential or actual conflict, you need to know your rights. Taking action to enforce your rights is the best way to ensure that you receive the treatment you deserve.  |
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.  |
The Motley Fool October 30, 2009 Dan Caplinger |
Why Government "Help" Could Become Your Next Nightmare The government wants brokers and other financial professionals to act in their clients' best interest, but if you're a client, you might well be much happier keeping things exactly the way they are now.  |
Financial Planning November 1, 2006 Daniel B. Moisand |
Keep Standards High Financial planning is surprisingly under-regulated. The rules that do exist apply primarily to subset disciplines. As a result, all planners are regulated but no one really regulates planning.  |
Registered Rep. September 13, 2004 John Churchill |
A Broker or An Advisor? A hot topic among the financial planning community as financial planners continue to try to define and bolster themselves as a profession: fiduciary status. Of particular concern is the "broker-dealer exemption rule" to the Investment Advisers Act of 1940.  |
Commercial Investment Real Estate May/Jun 2015 Sean E. Ponist |
Going to the Source By attributing the source of the information, an agent or broker can avoid, or at least attempt to avoid, liability for any unintentional errors in information passed along.  |
Financial Planning January 5, 2008 Glenn G. Kautt |
Are You Certifiable? As regulators turn up the heat on the planning profession, can you meet the highest fiduciary standards available today?  |
Investment Advisor October 2006 Melanie Waddell |
Catching up with... An interview with Tom Grzymala, a former RIA and Accredited Investment Fiduciary Auditor about ensuring those advisors who proffer advice are living up to fiduciary standards.  |
Financial Planning September 1, 2008 Blaine Aikin |
New Disclosure Regimen Planners are facing considerable competition from brokers in the arena of retirement plans, and the reality that brokers typically don't work as fiduciaries is a thorn in planners' sides.  |
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.  |
Investment Advisor October 2009 Bob Clark |
Clark at Large: The Dog That Didn't Bark A fiduciary duty to all clients would be more immediate, widespread, and at least as beneficial as separate regulation of planners.  |
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 July 1, 2011 Melanie Waddell |
Fiduciary D-Day Arrives As the SEC launches into rulemaking, lots of 'thorny issues' will surface.  |
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 7, 2010 Kristen French |
Bulk Up On Disclosure, Shock Aborbers Needed, Says Ketchum The industry must move forward to improve the quality and kinds of disclosures firms provide to clients, particularly disclosures about the services provided.  |
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 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 September 2008 Mike Patton |
B/D or RIA? The Case for the Registered Investment Advisor After considering the different options, one advisor explains why he opted for the registered independent advisor model.  |
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 Planning June 1, 2011 Donald B. Trone |
Code of Conduct As the SEC engages in the rule-making associated with its proposed uniform fiduciary standard of conduct under the Dodd-Frank Act, it likely will focus its attention on an advisor or broker's duty of loyalty and duty of care.  |
Registered Rep. December 1, 2005 Andrew Osterland |
Brokering Advice The essential difference between brokers and registered advisors, say financial planners, is fiduciary duty. The notion that b/ds have a lighter burden of regulation than registered advisors, however, is something the securities industry vigorously disputes.  |
Registered Rep. March 16, 2012 Kristen French |
Wire Houses Minting Fiduciary Advisors -- Or Are They? None of the firms will go on record as to whom specifically in the rank and file is adopting the standard, nor will they provide much detail on what that training looks like.  |