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Financial Advisor September 2012 Jeff Schlegel	Not Making The Grade Financial advisors aren't as fiduciary as they should be, a new survey finds.
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.
Registered Rep. December 1, 2006 John Churchill	Of Two Minds An internecine argument at the FPA gets to the heart of one of the industry's more vexing problems: Should brokers be able to position themselves as financial planners?
Registered Rep. April 1, 2007	Confronting the F Word Experts suggest that reps who ultimately become fiduciaries will require additional training. Simply holding various series licenses is probably not going to cut it. There are now more options than just a few years ago.
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.
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
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?
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 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 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?
Investment Advisor July 1, 2011 Melanie Waddell	Fiduciary D-Day Arrives As the SEC launches into rulemaking, lots of 'thorny issues' will surface.
Financial Advisor March 2011 Jeff Schlegel	Is Uniformity Possible? Broker-dealers expect some changes if a new fiduciary standard is adopted.
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.
On Wall Street September 1, 2012 Elizabeth Wine	Financial Advisors Turn to the 401(k) Market for More Business Advisors look to 401(k) plans as fertile ground for business.
Financial Planning March 1, 2011 Donald B. Trone	All for One... A uniform fiduciary standard of conduct, coupled with harmonized regulations, should dramatically improve the process for investors.
Financial Planning October 2, 2007 Michael Dubis	The Fiduciary Test As a financial planner, are you really on your clients' side? Ask yourself some of these tough questions.
Financial Planning October 1, 2006 Elizabeth O'Brien	The Fiduciary Fracas Debate and controversy over the elusive standard could be just what the industry needs.
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 November 1, 2010 Trone & Harvey	The New Rules of the Road The following four regulatory reforms will likely have the most impact on the financial services industry over the next 24 months. Here's a short synopsis of what they will require.
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.
Financial Planning January 5, 2008 Elizabeth O'Brien	The New Fiduciaries LPL and Fiduciary360 educate advisors on retirement consulting in the Pension Protection Act of 2006 era.
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 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 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.
On Wall Street March 1, 2010 Bo Bohanan	Do You Really Want To Be A 401(k) Consultant? It is fairly easy to spot the advantages and opportunities of working in this marketplace. But, not all of the pitfalls are as evident.
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 September 2006 David L. Lawrence	A Fiduciary Practice For financial advisory firms, operational challenges come with offering advice.
Investment Advisor March 2010 Bob Clark	Clark at Large: Hope and Change Is financial reregulation moving in the right direction?
Investment Advisor September 2010 Melanie Waddell	Washington Watch: Industry Heeds SEC's Call for Comments SEC flooded with comments on fiduciary standard; 'fiduciary forum' on September 24.
Investment Advisor December 2009 Kathleen M. McBride	B/D Briefing: Surprise Broker Sentiment Most appear to support a fiduciary standard.
Financial Planning September 1, 2010 Trone & Harvey	Sweet Harmony Industry and regulators can feel comfortable that a fiduciary standard need not be cumbersome, but should, when properly crafted, significantly improve how investment decisions are prudently managed.
Investment Advisor May 2007	That's Not How I Read PPA Letters to the editor: DOL Requires More Due Diligence for 401(k) Advisors... You say adviser, we say advisor... Corrections...
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?
Investment Advisor March 2008 Bob Clark	The Empire Strikes Back Wall Street's crafty response to its whipping over the Merrill rule.
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.
Registered Rep. March 9, 2007 Christina Mucciolo	What's In a Name? If You Are a Fiduciary, a Lot. But Are CFP Certificants Fiduciaries? Financial planners who hold the Certified Financial Planning designation have been tussling with the CFP Board, which controls the CFP designation, over the designation's ethical standards.
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.
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 August 1, 2007 Bob Veres	CFP Board of Fiduciaries If you're a strong advocate of professionalism and consumer protection, you'll find a lot to like in The CFP Board's "Rules of Conduct."
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.
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.
On Wall Street April 1, 2010 Trone & Harvey	Are The Retirement Waters Now Murkier? A 40-page document of new regulations from the Department of Labor sets out to ease the challenges of offering investment advice to retirement plan participants and to lessen any conflicts of interest.
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.
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 November 2006 Thomas D. Giachetti	Defining Fiduciary What is a financial advisor's true fiduciary duty?
Financial Advisor May 2007	Frontline News Don't Party Like It's 1999... CFP Board Moving Headquarters... Advisors Settle Multimillion Lawsuits... FPA's New Fiduciary Standard For All Planners... Mesirow Advisors Become RIAs...
Registered Rep. May 1, 2007	The Great Reckoning Whatever the specific business impact the Merrill Lynch ruling may have, many see the return to pre-1999 rules as a chance for the brokerage industry, which has long avoided fiduciary duty for business and regulatory reasons, to overcome those obstacles and embrace it.
Financial Advisor July 2011 Andrew Gluck	Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance.
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.