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  • Purchased Electives

  • "Too Big To Fail" Firms May Be Forced To Restructure

  • 12th Annual Evolution/Revolution Study Shows Small Firms Continue To Dominate The Industry

  • A Financially Literate Society Could Be A Boon To Advisors

  • AARP Joins Fiduciary Debate Alongside CFP Board, Financial Planning Association, And Other Consumer And Professonal Associations To Oppose Broker/Dealers And SIFMA

  • Advisor's Press Release Exposes How The Split Between FPA And Broker/Dealers Now Plays A Pivotal Role In The Development Of The Profession

  • Are Brokers Fiduciaries, Even Though They Accept Commissions? Yes, Says Financial Advice Ethics Expert Ron Rhoades

  • Broker Says Record That Shows Investor Complaints Totaling $1.4 Million Should Be Expunged Out Of Fairness And A California Appeals Court Agrees

  • Can Google Regulate Financial Advisors?

  • CFPB Still At The Center Of Congressional Dodd-Frank Bickering

  • Chicago-Based MBA And Derivatives Consultant Points To Fraud As Cause Of 2008 Crisis

  • Congress Reveals Priorities For The SEC While Denying Budget Increase Request

  • Congressional Hearing On Bachus-McCarthy Bill Yields Inconlusive Delay

  • Consumer Advocates Frustrated At Lack Of Fiduciary Progress

  • Decisions On Fiduciary Standard And Regulator Of RIAs Delayed Officially

  • Despite SEC Claims, New Enforcement Activity Has Actually Declined

  • Do FINRA and SEC Disclosures Drive You Nuts? Here's Your Chance To Let The SEC Know How To Fix It

  • Dodd-Frank "Too Popular" To Kill Outright, Barney Frank Says

  • Dodd-Frank Costing $417 Million This Year, According To New GAO Report

  • Dodd-Frank Doesn't Have To Be Expensive, Compliance Officers Say

  • Dodd-Frank Legislation To Be Reviewed During Entire Month Of July

  • DOL Backtracks On Strict Retirement Plan Fiduciary Rule

  • Elizabeth Warren Can't Catch A Break For The CFPB

  • Fiduciary Capacity Isn't A Term That Only Applies To You; It May Also Apply To Your Clients

  • Financial Planning Coalition Calls On New SEC Chair To Focus On Fiduciary, Increase Oversight Of Investment Advisers

  • Financial Planning Coalition, Taking On Wall Street And The SEC, In A David Versus Goliath Battle On The Fiduciary Standard

  • FINRA Comes Up Short In Examination By Government Accountability Office

  • FINRA Puts SRO Priority On Back Burner, Noting Little Momentum In Congress In Support Of The Measure

  • FINRA Requests Comment On Ways To Increase Investor Use Of BrokerCheck: My Suggestion Is To Consolidate Advisor Licensing Databases And Open It To Search Engines

  • FINRA Spent More Money Lobbying Congress Last Quarter, But Guess Who Spent Five Times As Much

  • FINRA's Estimate Of Cost Of Establishing And Maintaining An SRO For RIAs Challenged By Coalition Representing RIAs

  • FINRA's Rick Ketchum Calls RIA Arguments Against SRO A "Red Herring"

  • Get Ready For Congressional SRO Hearings In Two Weeks

  • Give States Oversight And Examination Authority Over RIAs Managing $1 Billion Or Less To Solve The RIA Regulatory Mess

  • Guest Post: Robert Powell On The Spokesman For The Fiduciary Movement Who Is Now Accused Of Diverting Retirement Plan Assets To His Own Personal Accounts

  • How Dodd-Frank Passed In The First Place (And Where It's Gone From There)

  • Lawyers Tell Advisory Firms To Be Ready To Investigate SEC Whistleblower Claims On Their Own

  • Mark Spangler Indicted On 23 Counts Of Fraud And Money Laundering; Government Seeks $41.7 Million

  • Mary Schapiro Still Committed To Universal Fiduciary Standard, Warns On SEC Funding Issues

  • Massachusetts Calls On SEC To Prohibit RIAs From Using Mandatory Arbitration Clauses, Saying It Is "Troubling," Widespread And Not Consistent With Fiduciary Practice

  • Murder, Ponzi Schemes, And Lack Of Regulatory Effectiveness Point To Need For Investor Education

  • NAIFA Backs FINRA Examination Of SEC-Registered Investment Advisers

  • New House Budget Proposal Trims Dodd-Frank But Leaves Most Of The Reforms Intact

  • New Survey Says Dodd-Frank Will Help Restore Client Trust

  • News Analysis: The Real Story Behind The SEC Warning That It Has Found “Widespread” Violations By RIAs Of The Custody Rule

  • No Progress? 2011 Ends With The Same Regulatory Questions Advisors Were Facing 12 Months Ago

  • Now That Barney Frank Is Leaving, He Comes Out Against An Advisor SRO

  • Obama Nominates Securities Lawyer To SEC, But Don't Expect It To Speed Up Decisions On Regulatory Reform Issues Affecting Independent Financial Advisors

  • Overlooked "Grandfather Clause" In New Qualified Investor Rules Softens The Impact On Performance-Based Fees

  • Prominent Advisors Come Out In Favor Of Student-Created RIA Regulator

  • Questions About ByAllAccounts And When Account Aggregation Of 401(k) Assets Triggers Onerous Custody Rules Become Focus Of Webinar About 2014 SEC Examination Priorities For RIAs

  • Ranking House Financial Services Committee Member Frank Introduces Legislation To Merge SEC And CFTC

  • Researching The Advisor Tied To The Soccer Mom Who Allegedly Ran A Prostitution Ring Shows Why FINRA BrokerCheck Stinks And Why SEC And FINRA Are Not Trusted

  • RIA Groups Release Study Saying FINRA Oversight Would Cost Twice As Much As Enhancing The SEC's Exam Program Of RIAs

  • RIAs Can't Be Consumer Advocates If They Disregard SEC Advertising Rules By Using Social Media Apps Without Archiving Their Posts

  • RIAs Don’t Seem To Care Very Much About The Regulatory Debate; Reaction To Last Week’s FINRA-SRO News Was Muted

  • SEC Chief, Testifying Before Senate, Says Dodd-Frank Replaced 2,250 RIAs And $115 Billion AUM With 1,500 New RIAs Managing $3 Trillion

  • SEC Forms New Committee In Line With Dodd-Frank

  • SEC Gropes Toward A Cost/Benefit Analysis Of Advisor Reform

  • SEC Proposes Deeper Scrutiny Of Broker-Dealers

  • SEC's New Investor Advisor Committee Focuses On Investor Needs Rather Than Fiducairy Status Of Intermediaries

  • Shoot The Fiduciary Messenger? Or Use The Debate To Spark Propitious Thinking...

  • Sizing Up The Powerful Forces Aligned To Fight Making FINRA The SRO For RIAs

  • SRO Fight Heats Up And May Be Turning As The Threat Of Job Losses Catches Congress's Ears

  • Staffing Details Of Mary Schapiro's $245 Million SEC Budget Increase Request May Be Unintentionally Revealing

  • Summarizing The Current Position Of Stakeholders In Decision On Naming FINRA To Oversee RIAs

  • Switch To State Regulation May Be The Closest Thing To An Audit Some RIAs Have Ever Experienced

  • The Deadline For Filing For State Registration Is Next Week!

  • The SEC Has So Much On Its Plate That Advisory Regulation, Fiduciary Rules Are Rolling Off

  • Underscoring Why The Financial Planning Coalition Is Headed In the Wrong Direction, 1,100 Advisors Attended AICPA’s Financial Planning Conference

  • Wells Fargo Advisor Who Bilked At Least A Dozen Clients Makes Front-Page News In Today’s New York Times

  • Why A Uniform Fiduciary Standard Isn't The Answer

  • With So Little Action On Dodd-Frank Over The Past Two Years, Many Are Dubbing It Dud-Frank

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