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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 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
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
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
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
Financial Planning
February 1, 2010
Deena Katz
Our Cosmic Glue Competing ideas may pit financial advisors against one another, but a much more powerful force should unite them, which is the desire to serve clients well. 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
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? 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
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
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
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
August 2007
Bob Clark
Genius, Pure Genius Fake studies with unsound data and faulty conclusions put people who are trying to do the right thing on the wrong track. The problem is that for over a hundred years, the financial services industry has gotten away with a fraud: acting like "advisors" but being compensated as salespeople. 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
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
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Planning
December 1, 2009
Kristina Fausti
Fiduciary Q and A Most advisors are still not clear on the issues regarding a fiduciary standard. Here are some Qs and As on the subject. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. 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
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
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
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 2006
David L. Lawrence
A Fiduciary Practice For financial advisory firms, operational challenges come with offering advice. mark for My Articles similar articles
Financial Planning
September 1, 2007
Bob Veres
The Dual Reality The FSI and independent broker-dealer community have become pivotal voices in the profession. What they see in the future might surprise you. 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
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, 2006
David Spinar
Even the Playing Field Congress needs to standardize the regulations for investment advisors and broker-dealers. mark for My Articles similar articles
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. 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
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
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
February 2007
Roy Dilberto
Establishing Trust In Financial Planning For large wirehouses, they need to understand that business is not leaving them and being transferred to independent advisors because of the fee structure. It is because most of these people are registered as investment advisors and follow the spirit as well as the letter of the fiduciary relationship. mark for My Articles similar articles
Investment Advisor
September 2008
Steve Moore
Less Is More To become a wealth manager, you may want to start with fewer clients. mark for My Articles similar articles
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 mark for My Articles similar articles
Investment Advisor
November 2006
Thomas D. Giachetti
Defining Fiduciary What is a financial advisor's true fiduciary duty? 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
June 2007
Fiduciary First of All Letters to the editor: Doing the Fiduciary Wiggle... Corrections... etc. 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
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
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. 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
Financial Planning
October 1, 2010
Katherine Reynolds Lewis
Study Harder New Dodd-Frank legislation kick-started two major initiatives that could transform the way financial advice is regulated and for the first time subject financial planning to explicit regulatory oversight. mark for My Articles similar articles
Financial Planning
February 1, 2011
Donald B. Trone
12 Steps to the Future If you have never prepared a checklist to evaluate your practice, 2011 is the time to start. You'll need to know your strengths and weaknesses as advisors in what promises to be an interesting year. mark for My Articles similar articles
Financial Planning
August 1, 2010
Morris Armstrong
Different Look There are enormous legal differences when reviewing the operations and responsibilities of a broker-dealer and a RIA. mark for My Articles similar articles
Financial Planning
April 1, 2011
Donald B. Trone
Costly Decisions Many people think a fiduciary must select the lowest-cost service provider or lowest-priced basket of goods and services for clients. Not so. mark for My Articles similar articles
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. mark for My Articles similar articles