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Investment Advisor
June 2007
James J. Green
A Level Playing Field An interview with NAPFA's Dick Bellmer on the group's consumer education campaign on fiduciary standards. mark for My Articles similar articles
Investment Advisor
February 2010
Bob Clark
Clark at Large: Declaration of Independence Starting with fiduciary duty, I propose standards for a new profession. mark for My Articles similar articles
Investment Advisor
October 2007
Clark Strikes Another Nerve Letters to the editor: Genius, Pure Genius... Who Says They're the Good Guys... In Favor of Full Disclosure... etc. mark for My Articles similar articles
Investment Advisor
October 2009
James J. Green
Catching Up With: Bill Baldwin A telephone interview with the editor-in-chief of this publication and the new chairman of NAPFA, Bill Baldwin. mark for My Articles similar articles
Financial Advisor
March 2012
Donald B. Trone
Defining 'Fiduciary' In Three Dimensions It means different things to different advisors, depending on their registered status, experience and background. What is clear is the need to continue to build consensus around what the term means to the industry. mark for My Articles similar articles
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? mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
August 2005
Bob Clark
Clark at Large: Why NAPFA Matters Can the future of financial planning really depend on folks who fudge their numbers? mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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? 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
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. mark for My Articles similar articles
Financial Advisor
September 2012
Jeff Schlegel
Not Making The Grade Financial advisors aren't as fiduciary as they should be, a new survey finds. mark for My Articles similar articles
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 mark for My Articles similar articles
Investment Advisor
January 2010
Bob Clark
Clark at Large: The Riddle of the CFP Board Have you ever wondered what those folks at the Certified Financial Planning Board are thinking? mark for My Articles similar articles
Financial Planning
November 1, 2006
Bob Veres
Fiduciary Fire Index At the start of the new year, the Pension Protection Act will go into effect and expose all over again the fact that, although we all like to talk about fiduciary standards, there really isn't any consistent definition of the term. mark for My Articles similar articles
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. 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
Financial Planning
July 1, 2010
Marion Asnes
Envestnet's Fiduciary Opportunity Bill Crager, president of Envestnet, is not going to wait for Washington to figure out the fate of the fiduciary standard. The way he sees it, the market has already spoken. mark for My Articles similar articles
Investment Advisor
October 2010
Melanie Waddell
Obama Calls for End to Some Bush-Era Tax Cuts; Fiduciary Lobbying Continues Some experts see a tax deal in early 2011 mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
November 2007
Lines Limned by a "Letters" Lover Letters to the Editor: Broker/Dealer of the Year Correction... Spelling correction... mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
August 19, 2009
Christina Mucciolo
Haggling Over The F Word Continues Regulators, consumer advocates and politicians continue to hammer out what it might mean for Series 65 investment advisors and series 7 registered reps to adhere to the new fiduciary standard. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
February 1, 2010
Kristen French
Most Brokers Think Uniform Fiduciary Standard Unlikely Yet most of them also thought it would do good. mark for My Articles similar articles
Financial Advisor
December 2009
David Lawrence
Standards Of Care Fiduciary concepts are having a bigger impact on the financial services industry and your practice. mark for My Articles similar articles
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
Investment Advisor
December 2009
Kathleen M. McBride
B/D Briefing: Surprise Broker Sentiment Most appear to support a fiduciary standard. mark for My Articles similar articles
Investment Advisor
January 2009
Elizabeth D. Festa
Fixing Fiduciary Failings The financial services world may finally be catching up with the fiduciary standards that Blaine Aiken, CEO of fi360, a Pittsburgh-area based firm that offers education and management support for the investment fiduciary profession, has been espousing for years. mark for My Articles similar articles
Investment Advisor
July 2010
Bob Clark
Clark At Large: Done Deal Even without a mandated fiduciary duty for all who give advice, the cat's out of the bag. mark for My Articles similar articles
Financial Planning
September 1, 2008
Stacy Schultz
5 Questions with Diahann Lassus A short interview with Diahann Lassus, the new chair of NAPFA. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
March 5, 2010
Kristen French
Washington Not Swayed By Mainstream Media On Fiduciary Standard. What About Clients? Will all the media attention influence brokerage clients? Many have already been migrating to investment advisers who act as fiduciaries on the RIA side of the business. mark for My Articles similar articles
Financial Planning
May 1, 2010
Bob Veres
In Their Own Words A fiduciary standard would be an important and powerful protection for the American consumer, and a giant step forward in the evolution of the financial advisory profession. mark for My Articles similar articles
Investment Advisor
March 2010
Bob Clark
Clark at Large: Hope and Change Is financial reregulation moving in the right direction? mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Advisor
May 2008
Marla Brill
Under Pressure Financial advisors who provide services to businesses with 401(k) plans governed by the Employee Retirement Income Security Act have a new reason to review fiduciary practices and double-check professional liability insurance. mark for My Articles similar articles
Financial Planning
March 1, 2010
Donna Mitchell
More Plans for All A universal fiduciary standard could be great for consumers, but financial planners may get less benefit than they think. mark for My Articles similar articles
Financial Advisor
September 2006
David L. Lawrence
A Fiduciary Practice For financial advisory firms, operational challenges come with offering advice. mark for My Articles similar articles
Registered Rep.
June 3, 2010
Kristen French
For Fiduciaries, Fee Monitoring Gets More Scrutiny Advisors who act as fiduciaries have to keep a closer watch over fees and expenses than ever before. mark for My Articles similar articles
Financial Advisor
February 2006
Tracey Longo
NAPFA: Holier Than Thou The chairwoman of the the small and once-feisty organization for fee-only financial advisors seeks balance between the group's rabble-rousing roots and concern for members. mark for My Articles similar articles
Financial Advisor
September 2006
Frontline News Optional Fiduciary Stance Challenged... Retired Widow Wins Fiduciary Case Against Advisor... Investors Still Expecting High Returns... Investors Want Choice... Advisors Optimistic About Growth Prospects... etc. mark for My Articles similar articles
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. mark for My Articles similar articles