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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.  |
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.  |
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  |
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.  |
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.  |
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 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  |
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  |
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.  |
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 Advisor March 2011 Jeff Schlegel |
Is Uniformity Possible? Broker-dealers expect some changes if a new fiduciary standard is adopted.  |
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.  |
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.  |
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.  |
Financial Advisor July 2011 Andrew Gluck |
Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance.  |
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.  |
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.  |
Registered Rep. March 11, 2009 Christina Mucciolo |
Brokers Versus Advisors--SIFMA Wants "Universal," Not Fiduciary, Standard Will the patchwork rules governing the conduct of Series 7 holders and registered investment advisors, a patchwork that confuses the public, finally be sorted out?  |
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.  |
Financial Advisor May 2011 Andrew Gluck |
Finra Makes Its Move Who regulates financial advisors may shift. Here's a look at the positions various groups are taking on fiduciary standards.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
Financial Advisor November 2005 Tracey Longo |
The Embattled Broker Exemption Rule While advisors talk a good game about their desire to see consumers protected by meaningful regulation, the Financial Planning Association remains the sole litigant in its lawsuit against the Securities and Exchange Commission's so-called Merrill rule.  |
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.  |
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.  |
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.  |
Registered Rep. January 23, 2011 Kristen French |
SEC Recommends Strict Fiduciary Standard For Broker/Dealers An SEC study released over the weekend could represent a major push towards a more uniform regulatory framework for the fragmented wealth management business.  |
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  |
Investment Advisor July 1, 2011 Melanie Waddell |
Fiduciary D-Day Arrives As the SEC launches into rulemaking, lots of 'thorny issues' will surface.  |
Financial Planning April 1, 2008 Bob Veres |
The Myths of Our Age These days, the planning profession seems to be caught in a web of myths and half-truths, which make it difficult for us to talk about a lot of issues. Here are some common myths regarding the financial planning industry.  |
Registered Rep. March 1, 2008 John Churchill |
Fix Advisor Laws! Laws should reflect the fact that the differences between registered reps and registered investment advisors have largely evaporated.  |
Financial Planning June 1, 2007 Bob Veres |
Victory, for Now Brokerage firms have little choice but to adapt to a world in which their traditional service -- clearing trades and executing transactions -- has become "solely incidental" to the increasingly valuable business of providing advice.  |
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.  |
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.  |
Financial Planning March 1, 2008 Bob Veres |
Deconstructing Rand A report written by the Rand Corp. will help the SEC's staff decide who should and should not be registered as an registered investment advisor, and to determine whether investors understand the differences between and relationships among broker-dealers and investment advisors.  |
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.  |
Financial Planning May 1, 2011 Bob Veres |
To the World of 2020 I'm writing this column to help you address the issue on the minds of investors and consumers everywhere in your future day and age: How can we finally fix the regulatory system after the latest traumatic events shook the markets to their core?  |
Financial Planning November 1, 2012 Bob Veres |
Financial Advisors May be Subject to Uniform Rules If we want uniform rules on investing recommendations, why stop at advisors? If Congress and our regulators are indeed serious about protecting the best interests of consumers, then perhaps it's time they took a wider view of financial advice.  |
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.  |
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.  |
On Wall Street February 1, 2013 Kenneth Corbin |
Regulatory Forecast Bodes Change Advisors could see talks on oversight and a fiduciary standard move forward this year.  |
Investment Advisor August 2010 Melanie Waddell |
Broker/Dealer Marketing: Finding Their Voice Broker/Dealers are waking up to the new, post-downturn marketing environment. Here are a few of the best ideas.  |
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?  |
Investment Advisor December 2009 Kathleen M. McBride |
B/D Briefing: Surprise Broker Sentiment Most appear to support a fiduciary standard.  |
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?  |