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Investment Advisor
September 2009
Bob Clark
Clark at Large: These Guys Are Good Did you ever get the haunting feeling that something was going too well? That's how I'm starting to feel about the reregulation of the advisory world, which is part of the Obama Administration's overhaul of the financial services industry. 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
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
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
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
Investment Advisor
August 2009
Bob Clark
Clark at Large: Something About Mary The drive to reregulate financial advice shifted into high gear on June 17, when the Obama Administration released its white paper containing proposals for 21st Century Financial Regulatory Reform, and passes it to SEC chair Mary Shapiro. 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
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
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 Planning
October 1, 2011
Donna Mitchell
Doubling Down When the SEC recommended last January that brokers and investment advisors operate under a uniform fiduciary standard of care when dealing with clients, the decision seemed to validate, at last, what many industry groups and fiduciary advocates had been saying for years. mark for My Articles similar articles
Investment Advisor
February 1, 2011
Bob Clark
An Old Dog Learns Some New Tricks Or a funny thing happened on the way to The Dodd-Frank Wall Street Reform Act. mark for My Articles similar articles
Investment Advisor
October 2009
Bob Clark
Clark at Large: The Dog That Didn't Bark A fiduciary duty to all clients would be more immediate, widespread, and at least as beneficial as separate regulation of planners. mark for My Articles similar articles
Financial Planning
December 1, 2009
Harold Evensky
Clients First It is imperative that an honest, universal fiduciary standard incorporate basic principles designed to protect clients -- not brokers, advisors, or their employers. mark for My Articles similar articles
Investment Advisor
July 2009
Bob Clark
Clark at Large: Reality Check Washington is far more likely to tweak the existing system than to rewrite the investment advisor legislation. 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
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
Investment Advisor
February 1, 2011
Melanie Waddell
2011: The Year the Advisors' Playing Field Fundamentally Changes All eyes this year will be focused on the exchanges that will ensue between lawmakers and the Securities and Exchange Commission regarding putting brokers under a fiduciary mandate and appointing a self-regulatory organization. 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
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
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
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
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
On Wall Street
February 1, 2010
Five Questions with David Tittsworth David Tittsworth has served in all three branches of government and discusses ways to police the advisory business. 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
July 1, 2011
Bob Clark
If You Want Something Done Right It's beginning to look like the only way Dodd-Frank reregulation is going to turn out well is if RIAs form their own SRO. 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
Financial Advisor
April 2009
Jeff Schlegel
Fiduciary Fracas People from all corners of the financial services industry are weighing in with their ideas about the future shape of the industry, including thoughts about whether all financial advisors should be held to the fiduciary standard of client care. 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
Registered Rep.
July 15, 2011
Kristen French
SIFMA Wants Fiduciary Standard Governed By Client Contracts Broker/dealer trade group SIFMA fired off the latest round in the ongoing tangle over the fiduciary standard Thursday. The group sent a letter to the SEC that recommends creating for broker/dealers a modified version of the fiduciary standard that currently governs investment advisers. mark for My Articles similar articles
Investment Advisor
April 1, 2011
SEC and the Fiduciary Study: Politics and the Fiduciary Standard AdvisorOne Wealth Editor Kate McBride explains the political process under which Dodd Frank was passed, up to the SEC's reports on an SRO and fiduciary standard mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
March 1, 2005
Responsibility Issues When is a broker or a financial planner a fiduciary? 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
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
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. 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
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
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
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
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
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? 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.
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.
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
Financial Advisor
November 2009
Jeff Schlegel
The Great Debate Financial services reform is coming. How will it impact advisors? mark for My Articles similar articles
Financial Planning
March 1, 2010
What's Happening to Regulation? Whether we like it or not, we do live in a post-Madoff world, and it's impossible to separate his crimes from the dialogue surrounding regulatory reform. mark for My Articles similar articles
On Wall Street
February 1, 2011
Five Questions With David Massey The deputy securities administrator for the state of North Carolina, began a one-year term as president of the North American Securities Administrators Association in September. mark for My Articles similar articles
Financial Planning
August 1, 2009
Bob Veres
A Swiftly Tilting Planet How will brokers and financial advisors fare in the government's battle to regulate the securities industry? mark for My Articles similar articles
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. mark for My Articles similar articles