Alabama

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  Schwab’s Sonders: Election Gives ‘No Clarity’ on Fiscal Cliff; Townsend on Dodd-Frank

  By James J. Green, AdvisorOne  |  November 9, 2012

  If Congress and Obama don’t show they can “play nicely in the same sandbox,” consumer confidence would suffer and there would be a real risk of a modest recession, Schwab’s chief investment strategist says, though she still sees some silver linings post-election.

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  After Obama Victory, How the New Government Is Shaping Up for Advisors: Updated

  By James J. Green, AdvisorOne  |  November 7, 2012

  Some notable newcomers—Elizabeth Warren, for one—join Congress, which remains divided between the two parties as fiscal cliff, tax issues come to fore of national agenda. FPA and FSI's leaders and lobbyists weigh in on what's next.

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  President Romney’s Cabinet: Who Would He Choose?

  By Marlene Y. Satter, AdvisorOne  |  October 25, 2012

  If Gov. Romney wins the election, his Cabinet will take a very different direction on economic policy than Obama’s. Here are some of the choices to head those key posts.

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  The Election and Advisors: FPA’s Dan Barry Reports, and Predicts

  By Dan Barry, FPA  |  October 25, 2012

  Looking at next year’s advocacy agenda for FPA, much depends on the election and who is placed in key positions. A rundown of the big issues for planners, and what different election scenarios mean for those issues.

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  No Quick Fix

  By Alexei Bayer  |  October 24, 2012

  No matter who ends up on top in this year’s closely fought presidential election—billed by both Republicans and Democrats as the most important in a generation—don’t get too excited about the winner’s ability to “fix” the economy.

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  Obama vs. Romney on Regulation: DOL Fiduciary DOA? Yes or No to SRO? Borzi Gets Boot?

  By Melanie Waddell, AdvisorOne  |  October 18, 2012

  While the regulatory and legislative landscapes remain sketchy until after the election, industry officials say there are some sure bets advisors can count on.

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  Homeowners Sue on LIBOR Manipulation

  By Marlene Y. Satter, AdvisorOne  |  October 15, 2012

  The class action alleges that traders at the 12 banks were incentivized to manipulate LIBOR to a higher rate on certain dates, resulting in homeowners having to pay more.

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  SEC’s Gallagher Challenges Idea of FINRA as Advisor SRO

  By Melanie Waddell, AdvisorOne  |  October 8, 2012

  “Should FINRA be seeking to branch out into entirely new fields of responsibility, such as regulating investment advisors?” a commissioner asks.

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  SEC, FINRA Enforcement Roundup: Merrill Slapped With $500,000 Fine

  By Marlene Y. Satter, AdvisorOne  |  September 27, 2012

  Recent FINRA actions include a $500,000 fine against Merrill Lynch for failing to file required reports, and a joint action with the SEC and the exchanges against Hold Brothers.

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  Breach of Fiduciary Duty No. 1 Complaint in FINRA Arbitration Cases

  By Melanie Waddell, AdvisorOne  |  September 25, 2012

  Experts including former SEC Chairman Harvey Pitt and Ron Rhoades debated whether brokers should be held to the same fiduciary standard as advisors.