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Investment Advisor August 2006 Kathleen M. McBride |
B/d Briefing: A New Regulatory Framework? In a move that may be the opening salvo in a fight for unified investor protection rules, the SEC is seeking information from potential contractors to conduct a study about how investments and advice are marketed to individual investors.  |
Registered Rep. November 3, 2004 |
Broker or Advisor---Who Knows the Difference? More than half of American investors look to brokers for more than just transactional assistance, according to new research, which also finds that investors don't understand the differences between brokers and registered investment advisors.  |
Registered Rep. June 1, 2006 Kristen French |
60 Seconds with Tom Bradley In this interview, the president of the Institutional division of TD Ameritrade talks about his opinion of the new broker/dealer exemption.  |
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.  |
BusinessWeek April 11, 2005 Toddi Gutner |
Broker Or Adviser? Be forewarned: If yours is employed by a brokerage, your interests come second  |
Financial Planning July 1, 2005 James A. Barnash |
Why We're Suing The FPA president explains the lawsuit over the SEC's broker-dealer rule that exempted certain broker-dealers from disclosure standards that apply to investment advisers and most financial planners.  |
Registered Rep. December 1, 2004 John Churchill |
If You're a Broker and You Know It As the holiday season approaches, the SEC is getting daily entreaties from registered investment advisors seeking an end to the broker/dealer exemption rule.  |
Investment Advisor August 2009 James J. Green |
Now and Then An interview with Tom Bradley, president of TD Ameritrade Institutional.  |
Financial Planning May 1, 2006 Bob Veres |
False Fiduciaries The so-called resolution of the SEC's "Merrill Lynch rule" does nothing to keep brokers from providing financial advice without assuming legal responsibility.  |
Financial Planning June 1, 2005 Harold Evensky |
The New 'F' Word A new group would irrefutably link the concept of "fiduciary" to financial advice.  |
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 2007 Melanie Waddell |
Victory for the FPA The U.S. Court of Appeals for the D.C. Circuit overturned the SEC's Merrill rule.  |
BusinessWeek August 30, 2004 Amy Borrus |
Brokers Aren't Advisers The line between brokers and advisers was clear for decades. But in 1999, the Securities & Exchange Commission blurred that line. Now, to protect investors, the SEC must redraw a clear line.  |
The Motley Fool January 4, 2005 Selena Maranjian |
Separating Brokers From Advisors Look for more disclosure from your financial advisors soon. And if you don't like the information you do or don't get from your brokerage, consider switching to a better one.  |
Registered Rep. April 8, 2005 John Churchill |
`Merrill Rule' Debate Not Over The SEC unanimously voted to allow Series 7 holders, or registered reps, to position themselves as financial advisors -- with certain caveats. But once again the SEC seemed to hedge its bet. So the debate rages on.  |
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.  |
The Motley Fool September 24, 2007 Saibal Saha |
You Churn, They Earn Effective Oct. 1, a new SEC rule says that a broker-dealer can no longer charge fees for investment advice unless it agrees to act as a registered investment advisor with fiduciary responsibility for its clients.  |
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. April 6, 2005 John Churchill |
SEC Adopts Broker-Dealer Exemption Over the vociferous objections of fee-only financial planners, the SEC voted unanimously to permanently adopt the broker/dealer exemption rule, formerly known as the Merrill Lynch exemption.  |
Registered Rep. March 30, 2007 John Churchill |
Surprise! FPA Wins Lawsuit Against SEC and the Broker-Dealer Exemption Three years after suing the SEC over the controversial "Broker Dealer Exemption" rule, a federal court has ruled that the SEC exceeded its authority in adopting the rule.  |
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.  |
The Motley Fool August 25, 2005 Selena Maranjian |
Should Brokers Get Overtime Pay? Commissions. That's an important word to consider when you think about how your broker may be serving you. For most investors, a solid online brokerage with low fees and a broad range of services is all one needs.  |
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 March 2009 James J. Green |
Catching Up With... Catching Up With Tom Bradley  |
U.S. Banker April 2010 Steve Garmhausen |
A New Standard for Bank Brokers? A bill mandating that brokerages adhere to a fiduciary standard would mean more disclosures, more work for bank compliance departments and more training.  |
Investment Advisor February 2008 Melanie Waddell |
A Groundbreaker SEC's Rand report, of the broker/dealer and investment advisory industries will dominate the discussion among brokers and advisors in 2008.  |
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.  |
Registered Rep. May 14, 2007 John Churchill |
"Merrill Lynch" Rule Dead, But SEC to Ask for Time The securities industry still hopes that the SEC will somehow come up with a new plan to keep the fee-based brokerage account from coverage by the Investment Advisers Act of 1940, which mandates that to offer financial advice, you have to be a fiduciary.  |
Investment Advisor July 1, 2011 Melanie Waddell |
Fiduciary D-Day Arrives As the SEC launches into rulemaking, lots of 'thorny issues' will surface.  |
The Motley Fool November 24, 2010 Dan Caplinger |
Get What You Want From Your Broker Rather than imposing a one-rule-fits-all approach to fiduciary duty, what the SEC should do is give customers the ultimate choice when it comes to deciding what relationship they want with their brokers.  |
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.  |
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.  |
Registered Rep. October 1, 2002 David A. Geracioti |
Outgrowing the Series 7? Registered investment advisors must take the Series 65 exam. As the line between brokers and financial advisors blurs, what responsibilities do brokers that dispense advice and collect a fee based on assets have?  |
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 Planning August 1, 2005 Bob Hirschfeld |
TD Ameritrade's Good Deal The merger of the two online broker-dealers will transform the new firm into a top contender.  |
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.  |
Investment Advisor July 2009 Melanie Waddell |
Regulatory Reform Angst It's clear that advisors are worried about the impact of regulatory reform measures.  |
Investment Advisor March 2008 Bob Clark |
The Empire Strikes Back Wall Street's crafty response to its whipping over the Merrill rule.  |
Registered Rep. March 30, 2005 John Churchill |
House Urges SEC to Adopt Broker-Dealer Exemption Rule At issue, at least as far as financial planners are concerned, is that registered reps are presenting themselves as fiduciaries, when in fact they are brokers with a less-than-fiduciary responsibility to their clients.  |
Investment Advisor June 2007 Melanie Waddell |
SEC Won't Appeal Court Ruling The SEC has decided not to appeal the recent ruling which exempted brokers from being subject to regulation as investment advisors in fee-based brokerage accounts, on the basis that the SEC had exceeded its authority under the Investment Advisers Act of 1940.  |
Registered Rep. June 25, 2010 Kristen French |
The Final Wall Street Reform Bill And You After a herculean 20-hours straight of negotiations, Congressional committee members agreed Friday morning to a Wall Street reform package that will be much tougher on the country's banks.  |
Registered Rep. September 14, 2011 Andrew J. Haigney |
Opinion: FINRA's Land Grab Provisions of the Dodd-Frank Act are effectively forcing brokerage firms to convert their retail operations to the investment advisory model. But brokers need not worry, it looks like "the fix is in."  |
Registered Rep. February 7, 2012 David A. Geracioti |
Von Aldo: AMTD Institutional Promotes Bradley, Nally Just two days after the close of iTD Ameritrade Institutional's annual gabfest, Tom Bradley, the president of the institutional unit, was named head of TD Ameritrade Holdings' retail distribution unit. Succeeding him will be Tom Nally.  |
Investment Advisor March 2008 Kathleen M. McBride |
A Fortified TD Ameritrade There's lots of support for the fiduciary advisor-client relationship at the newly strengthened TD Ameritrade.  |
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. February 1, 2006 Kristen French |
Both Sides Now Brokers who hold dual licenses -- both the Series 7 and Series 65 licenses -- will have to take fiduciary responsibility on some accounts. But they can also sell investments, after they make it crystal clear that they're doing so.  |
Financial Planning June 1, 2007 Marshall Eckblad |
The United Way The FPA's unexpected victory could pave the way to new regulations that cover both brokers and investment advisors.  |
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.  |
Entrepreneur September 2007 Scott Bernard Nelson |
Wrap It Up With a new rule that holds brokers to the same standards as financial planners, the wrap-account romance may be coming to an end.  |
Registered Rep. February 1, 2005 John Churchill |
A Monster Issue Will the SEC withdraw the Broker-Dealer Exemption, causing reps to back away from adviser status? If so, the impact could cause substantial disruption in the markets.  |