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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
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
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
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
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
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
Bob Clark
The Polar Bears Thawing out our modern black and white thinking could save the fiduciary standard. I don't usually write about politics, except when it has a direct impact on financial advice, and this appears to be one of those times. mark for My Articles similar articles
Investment Advisor
July 2010
Melanie Waddell
A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward. 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
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
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
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
Investment Advisor
March 1, 2011
Melanie Waddell
SEC Fiduciary Rule May Hit by Summer Despite the advisory industry's hopes that the Securities and Exchange Commission would get a quick start on writing a rule to put brokers under the same fiduciary standard as advisors, it looks as though a rulemaking could come by summer. mark for My Articles similar articles
Investment Advisor
December 21, 2010
James J. Green
FSI Endorses FINRA as SRO for Investment Advisors Dale Brown says FINRA option is "best way to address the regulatory gap." 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
Registered Rep.
April 27, 2010
Kristen French
Goldman Case Boosts Odds For Fiduciary Standard In Senate Bill The Senate hearing with Goldman Sachs may increase the likelihood that a fiduciary standard for brokers will make it into Senator Christopher Dodd's financial regulatory reform legislation. 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
June 2010
Melanie Waddell
Next Steps for Congressional Action Reconciliation of reform bills looms. Will Schapiro get fiduciary authority she wants? 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
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
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
On Wall Street
June 1, 2013
Fiduciary Standard Debate Heats Up As federal regulators move ahead with a pair of rulemaking proceedings that could dramatically reshape the financial advisory industry, advocates of broader fiduciary responsibilities are urging advisors to make their voices heard in Washington. 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
October 2010
Bob Clark
The Empire Steps Up The Financial Planning Coalition's letter on the Securities and Exchange Commission's "Study Regarding Obligations of Brokers, Dealers and Investment Advisers" will knock your socks off. 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
Investment Advisor
May 2010
Melanie Waddell
Schapiro Speaks on Fiduciary, 12b-1s In an exclusive interview, the SEC Chairman speaks her mind. mark for My Articles similar articles
Investment Advisor
January 1, 2011
Melanie Waddell
FINRA Jockeys for SRO Spot as SEC Report to Congress Nears The Financial Industry Regulatory Authority is engaged in a full-court press to convince the SEC that it should be the SRO for advisors. mark for My Articles similar articles
Financial Advisor
July 2011
Andrew Gluck
Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance. 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.
June 24, 2010
Kristen French
Congress Agrees to Fiduciary Standard For Brokers In negotiation over Wall Street reform Thursday, Senator Tim Johnson (D., S.D.) accepted a final counter-offer from the House this afternoon that would give the SEC rulemaking authority to extend the fiduciary duty to brokers who provide investment advice. 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
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
Investment Advisor
April 2010
Melanie Waddell
Washington Watch: The Shape of Reform Begins to Sharpen Dodd's bill calls for SEC study, not a fiduciary standard; advisors await final markup. 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
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
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
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.
October 6, 2009
Kristen French
FSI Urges Alternatives To Proposed Investor Protection Act The Financial Services Institute recommends closing regulatory gaps between the two sides of the industry, and suggested that an industry-run, rather than a government-run, regulator would be best for the job. mark for My Articles similar articles
Registered Rep.
June 15, 2010
Kristen French
Fiduciary Duty For All Hangs On Senator Tim Johnson After months and months of public debate and back-room deal-making, a final outcome on fiduciary duty -- the biggest issue for financial advisors, stockbrokers and wealth managers in the Wall Street reform bill -- may be decided Wednesday. 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
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. mark for My Articles similar articles
Registered Rep.
May 6, 2010
Kristen French
Washington Goes Crazy For Fiduciary Standard A number of senators are scrambling to get on the fiduciary bandwagon following last weeks' Goldman Sachs hearings. mark for My Articles similar articles
On Wall Street
March 1, 2011
Lorie Konish
A Uniform Fiduciary Standard May Reduce Investment Choices The fallout from the U.S. Securities and Exchange Commission's recent recommendation of a uniform fiduciary standard rolls on. As dates for hearings hang in the air, so do the possible effects on the wealth management industry. mark for My Articles similar articles
Investment Advisor
August 2010
Melanie Waddell
Washington Watch: Financial Services Reform Finalized SEC gets fiduciary powers, but lack of self funding may pose trouble mark for My Articles similar articles
On Wall Street
June 1, 2010
Mark Astarita
Tilting the Litigation Landscape Against the Financial Industry Current reform proposals could radically alter the broker-client relationship. 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
October 2009
Melanie Waddell
Danger & Opportunity: Financial Services Reform Bill Inevitable Financial services reform is still alive and kicking, as President Obama made very clear as he renewed his push for reforms during his speech to Wall Street. 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
Financial Advisor
October 2012
Stalled: Tougher Fiduciary Standard For Brokers Even with Wall Street and consumer advocates allied in pushing for it, a U.S. Securities and Exchange Commission proposal to raise standards for brokers advising retail investors has run aground. mark for My Articles similar articles
Investment Advisor
June 1, 2011
Melanie Waddell
Schapiro Says SEC to Focus in July on Fiduciary, 12b-1 The Commission will look at fund regulation "in tandem" with RIA/BD reform. mark for My Articles similar articles