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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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
BusinessWeek
April 11, 2005
Toddi Gutner
Broker Or Adviser? Be forewarned: If yours is employed by a brokerage, your interests come second mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
August 2009
James J. Green
Now and Then An interview with Tom Bradley, president of TD Ameritrade Institutional. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Planning
June 1, 2005
Harold Evensky
The New 'F' Word A new group would irrefutably link the concept of "fiduciary" to financial advice. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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." mark for My Articles similar articles
Investment Advisor
March 2009
James J. Green
Catching Up With... Catching Up With Tom Bradley mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
July 1, 2011
Melanie Waddell
Fiduciary D-Day Arrives As the SEC launches into rulemaking, lots of 'thorny issues' will surface. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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? mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
July 2009
Melanie Waddell
Regulatory Reform Angst It's clear that advisors are worried about the impact of regulatory reform measures. mark for My Articles similar articles
Investment Advisor
March 2008
Bob Clark
The Empire Strikes Back Wall Street's crafty response to its whipping over the Merrill rule. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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." mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles