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Registered Rep. April 1, 2013 Diana Britton |
The New Face of The Fiduciary Just when the industry thought it didn't have to worry about the DOL, the agency has made it clear that its fiduciary standard is imminent. For registered reps and RIAs alike, it could change the game.  |
Registered Rep. January 23, 2015 Megan Leonhardt |
SIFMA Questions The Numbers in White House Research on Broker Conflicts Investors could be losing 10 to 15 percent of their potential retirement savings because of conflicted advice from brokers, according to a memo written by White House economic advisors that could galvanize presidential support for new rules governing advisors of ERISA accounts.  |
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.  |
Investment Advisor September 2007 Melanie Waddell |
Failure to Compute? The Department of Labor is set to tell Congress by year-end if computer models are suitable for IRAs.  |
Investment Advisor October 2008 Melanie Waddell |
DOL Floats Advice Proposals The Department of Labor recently announced two proposed rules under the Pension Protection Act designed to make investment advice more accessible for millions of Americans in 401(k)-type plans and individual retirement accounts.  |
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.  |
Registered Rep. April 17, 2015 Megan Leonhardt |
DOL Moves Industry Closer to Harmonization The Department of Labor's proposal may represent the first step in a harmonized fiduciary standard by maintaining flexibility of business models.  |
On Wall Street January 1, 2011 Steve Garmhausen |
DOL: Advice Rules To Get Tougher The Department of Labor is poised to toughen rules for consultants and advisors that serve retirement plans, as past industry practices have fallen under new scrutiny.  |
Financial Advisor September 2011 |
Frontline News Laboring Over A Fiduciary Standard... Advisory/Brokerage Industry Still Climbing Out Of Meltdown Wreckage... Compliance Hot Spots... etc.  |
Investment Advisor December 2009 |
Walking the Fiduciary Line on Retirement Retirement plans and their participants may need to use separate advisors who are separate fiduciaries, devoid of the potential for conflicts.  |
Registered Rep. September 19, 2011 Kristen French |
Breaking: DOL Will Repropose Its Fiduciary Rule The Department of Labor announced Monday that it would again propose its rule on the application of the fiduciary standard to retirement accounts.  |
Registered Rep. December 8, 2015 |
2015 Broker Report Card: Fiduciary Worries The Department of Labor is set to rule that brokers working with retirement accounts meet a fiduciary standard.  |
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  |
Registered Rep. January 16, 2013 Diana Britton |
DOL's Fiduciary Proposal Presents Renewed Threat to Securities Industry SIFMA expects a DOL fiduciary proposal in the second quarter of this year, renewing the industry's concern over the possible legislation, which the organization says is contrary to the SEC's.  |
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.  |
Financial Advisor November 2012 Karen DeMasters |
DOL Fiduciary Regulations May Be Revived U.S. Department of Labor regulations that would extend the fiduciary standard to a larger group of people advising on retirement plans are on hold for now, but they may not be dead, according to those following the fate of the proposals.  |
Financial Advisor March 2011 Jeff Schlegel |
Is Uniformity Possible? Broker-dealers expect some changes if a new fiduciary standard is adopted.  |
Financial Planning October 1, 2012 Warren Baker |
Mitt Romney's Huge IRA Raises Questions For Advisors Mitt Romney's huge IRA gives a wake up call to advisors to ensure their clients don't venture into the muddy waters of the prohibited-transaction rules.  |
Investment Advisor April 2010 Melanie Waddell |
Retirement Planning: New Advice Rules Favor RIAs With the new rules brokers would charge a level fee, and couldn't give 'off-model' computer advice.  |
Financial Advisor September 2012 Jeff Schlegel |
Not Making The Grade Financial advisors aren't as fiduciary as they should be, a new survey finds.  |
Investment Advisor April 2009 |
Soapbox: How to Restore Trust If we want advisors to act in the best interest of clients, there should be a compensation system that offers them incentives them to do so.  |
Financial Planning March 1, 2012 Ed Slott |
Skirting an IRA Pitfall Because of an agreement they signed with their brokers, some IRA owners may unknowingly be vulnerable to having their whole account taxed.  |
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?  |
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.  |
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.  |
Financial Advisor May 2007 Ken Ziesenheim |
Diamonds In The Rough The new Pension Protection Act offers opportunities for financial advisors, if you know where to dig.  |
Financial Advisor December 2009 Mary Rowland |
Rough Road The rules on providing investment advice to 401(k) plan participants have been shifting, and the end of the controversy is not in sight.  |
Registered Rep. May 26, 2005 Kristen French |
Under ERISA, No Padding Profits with Revenue Sharing Under a recent Department of Labor directive, revenue-sharing arrangements between mutual funds and advisors to employee benefit plans can no longer be used to pad profits.  |
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.  |
On Wall Street June 1, 2011 Lorie Konish |
Dodd-Frank Prompts Brokerage Industry to Increase Lobbying Efforts With many issues surrounding the Dodd-Frank Wall Street Reform and Consumer Protection Act set to come to a head in the next year, advocacy is more important than ever for financial industry groups.  |
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.  |
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.  |
Investment Advisor March 2006 Melanie Waddell |
Retirement Plan Advisor: Retirement.alt Thinking of putting alternatives in clients' IRAs? You've got plenty of help, and company.  |
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.  |
Registered Rep. July 24, 2012 Jerry Gleeson |
Fee Disclosure - Can You Handle the Truth? New federal rules are forcing advisors to spell out what they're charging for running 401(k) plans and what their clients are getting for the money. It could lead to some difficult conversations.  |
Investment Advisor July 2010 Melanie Waddell |
Retirement Planning: Discord With DOL Squabbing over proposed final 401(k) advice rules.  |
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 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.  |
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.  |
Financial Planning September 1, 2006 David Spinar |
Even the Playing Field Congress needs to standardize the regulations for investment advisors and broker-dealers.  |
Financial Planning May 1, 2006 Ed Slott |
Prohibition Laws Before you let your clients buy exotic investments for their IRAs, make sure they know what transactions could put their retirement accounts at risk.  |
Investment Advisor April 2010 Michael S. Fischer |
The Roth Wave Tax advisors believe a Roth IRA conversion would benefit 43% of their clients this year, according to a new study.  |
Registered Rep. April 28, 2015 David Armstrong |
Editor's Letter: May 2015 It's worth looking at the so-far relatively muted response of the industry to the Department of Labor's second go around in proposing new fiduciary regulations for financial advisors to retirement accounts.  |
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.  |
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.  |
Registered Rep. March 6, 2012 |
RIA Rising: Befogged Investors Struggle with the Math Understanding the rules of investing can be a daunting task for clients, but some new data by Charles Schwab released today suggests the confusion may run deeper than you'd think.  |
Registered Rep. November 1, 2005 Kristen French |
Trolling for 401(k) Treasure Congress is expected to enact new pension legislation that would make it easier for financial advisors to work with participants in company retirement programs.  |
Financial Planning March 1, 2007 Elizabeth O'Brien |
White Paper Money Far From Mouth When It Comes to Retirement Savings: Advisors can play an integral role in helping clients maximize their retirement savings.  |
Financial Advisor June 2011 Bruce W. Fraser |
Rebuilding Trust - Part 2 Six leaders in the wealth management continue their discussion of the advisory industry and how new rules and regulations will impact it.  |
On Wall Street August 1, 2010 |
Five Questions With Richard G. Ketchum The Chairman and CEO of FINRA discusses financial reform and a single fiduciary standard.  |