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    • FRITZ MEYER’S MONTHLY SLIDES AND TRANSCRIPTS
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  • 2012 Report Identifies Top Five Challenges For Broker-Dealers Along With Industry Trends And Best Practices

  • A Financially Literate Society Could Be A Boon To Advisors

  • AdvisorOne Conducts Advisor Poll Weighs In On Who Should Be Schapiro's Successor And What Should Be The SEC's Top Priorities

  • An Open Letter To SEC Chair Mary Jo White: Please Modernize The RIA Testimonial Rule So That Consumers Could Rely On The Web To Connect Them With The Best Advisors

  • Appointment Of Elisse Walter As SEC Chair-Designate Makes FINRA More Likely To Be Named Self-Regulatory Organization Overseeing RIAs

  • Are Registered Reps Capable Of Acting In A Fiduciary Manner?

  • Bachus-McCarthy Bill Exempts Those With Wealthier Clients, Leaving Small Firms To Bear The Bulk Of The Burden

  • Bill To Make FINRA The SRO For RIAs Reintroduced, Sparking Protest In Some Quarters And Approval In Others

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

  • CFP Board Changes Experience Requirement And Procedures For CFPs Filing For Personal Bankruptcy As Well As Key Disciplinary Rules

  • CFP Board Hires New Lobbyist Who Formerly Served As Senior Counsel To House Financial Services Committee

  • CFP® Board Invites Commentary On Its Proposed Sanctions For Policy Violators

  • Congressional Pressure Is Building For Fiduciary Redefinition

  • Consumer Financial Protection Board Weighs In On Senior Advisor Designations; Says SEC, States, And Other Lawmakers Must Act

  • Corzine Was An Active Anti-Regulation Lobbyist, But Remains Mystified How His Own Firm Bent Rules

  • Cost-Effectiveness May Derail DOL's Expanded Application Of "Fiduciary"

  • Deadline For Switch To State Regulation Is Extended

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

  • Dodd-Frank Mandates Registering Municipal Advisors But Congressional Committee Says SEC's Proposed Rule Is Over The Top

  • Does Advising On IRAs Make You A Fiduciary And Can A Computer Model Absolve You Of Your Fiduciary Responsibility?

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

  • Financial Stability Oversight Council Proposes Three Alternative Structures For Money Market Funds And Puts Them Out For Comment

  • FINRA As SRO Battle Heats Up As Industry Participants Form Lobbying Group

  • FINRA Conducting Swath Of Investigations To Get To Know Broker-Dealer Practices

  • FINRA Considers Proposal Mandating Greater Consumer Access To BrokerCheck Through Web Links

  • FINRA Creates Interim Form For Crowdfunding Portals And Will Use Information Gathered To Formulate Rules

  • FINRA Pulls Proposal To Eliminate 5% Rule As A Result Of Commentary

  • FINRA Reissues Controversial Business Practice Rules Of 2010

  • FINRA Reprimands A Member Of Its Own Board

  • FINRA Seems Determined To Fulfill Its Business Growth Goals Despite Falling Membership Numbers

  • Five Compliance Areas To Focus On For In 2012

  • Former SEC Chair Schapiro Reportedly Joining Consulting Firm; Another Former Regulator Cashes In On Contacts In A Subtle, Legal Form Of Corruption

  • Government Accountability Office (GOA) Says FINRA Should Review 10 Of Its Rules

  • 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

  • Hedge Funds Will Become More Of A Target For SEC When JOBS Act Provision Is Enacted

  • Investment Banks Take A Harder Look At Conflicts Of Interest

  • IRS Gets Involved In Monitoring Municipal Bond Transactions

  • JP Morgan Chase Mutual Fund Sales Scandal Shows SEC Is A Joke At Investor Protection: RIAs Should Rise Up Against The SEC And Be Advocates For Investors

  • Letters From Failed Suicide Attempt Of PFGBest CEO Reveal Lack Of Regulatory Oversight As Well As How Embezzled Funds Were Used

  • Long-Time Independent Advisor Goes The Other Way, Joins Ameriprise

  • New Bill Will Propose FINRA As Industry SRO

  • New Rules For Independent Advisors In UK To Kick In January; UK Rules Prohibiingt Commissions For Independents May Offer Ideas For Solving The Fiduciary Debate In U.S.

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

  • No Criminal Case Likely In $1 Billion Loss At MF Global; Is America Any Better At Policing Corporate Corruption Than China?

  • POGO Report Shows Possible Influence Of Wall Street Executives On SEC Policy And Enforcement Decision Making

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

  • Regulatory Bodies Say Industry Firms Should Not Be Prohibited From Asking Employees For Their Social Media Passwords; What's Your Take? Do You Have A Better Solution?

  • 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

  • Responding To Financial Crisis, Britain Overhauls Its Regulators

  • SEC Agrees To Propose Rule With 30-Day Comment Period That Would Allow Issuers Of Private Investors To Advertise To The Public

  • SEC Forms New Committee In Line With Dodd-Frank

  • SEC Spends Funds On Mandated Consulting But Can't Afford To Implement Recommendations

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

  • SEC's Schapiro Steps Up Efforts To Ensure Integrity And Capacity Of Computer Program Traders

  • Six Weeks Before Mid-Size SEC-Registered Advisors Switch To State Regulation

  • SRO Bill Introduced In The House Will Likely Fail In The Senate

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

  • TD Ameritrade Launches High-Profile Study To Find Its Own Answer To The Question Of Advisor Supervision

  • Texas Insurance Agent Faces Up To 170 Years For Selling $5 Million In Fake Annuities

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

  • The SEC Is Updating Its Technology Systems To Better Detect Fraud

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

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

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