Alabama

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  LPL Grabs Pennsylvania Group With 24 FAs, $500M

  By Janet Levaux, AdvisorOne  |  September 21, 2012

  Delaware Valley Financial is affiliating with LPL Financial's broker-dealer and corporate RIA platform.

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  How the Election Will Shape Regulatory Policies for Advisors

  By David Tittsworth, IAA  |  September 20, 2012

  The president appoints the people who will make the most important decisions on regulatory policy that affect your profession. First up on our list of potential changes: Treasury.

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  11 Key Congressional Committees for Advisors to Worry About

  By Marlene Y. Satter, AdvisorOne  |  September 20, 2012

  As the election approaches, not just the White House and Congress are in play, but also control of congressional committees important to advisors and others in the financial services sector.

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  Playing to Win Still Matters in Football, the Markets and the Economy

  By Andrew Rice, Money Management Services  |  September 18, 2012

  Lessons our leaders can learn from the Alabama Crimson Tide: a hand up, not a hand out.

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  Advisors’ 5 Seasonal Investing Tips for Clients

  By Dan Berman, AdvisorOne  |  September 4, 2012

  Advisors, offering some basic tips, say the biggest mistake people make is not planning their spending for summer, and even Christmas, early in the year.

• Avoiding Breakaway Protocol Missteps

  By Gil Weinreich, AdvisorOne  |  August 23, 2012

  A team of Merrill Lynch advisors who left for Morgan Stanley in April were caught trying to remove boxes containing confidential customer information, becoming a cautionary tale for brokers tempted to break protocol.

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  6 U.S. Cities That Fell Off the Fiscal Cliff—and Survived

  By Dan Berman, AdvisorOne  |  August 21, 2012

  AdvisorOne looks at six municipalities that filed for bankruptcy but climbed their way back to solvency.

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  Remedy to Boost Advisor Exams Out of Reach This Year

  By Melanie Waddell, AdvisorOne  |  August 21, 2012

  Two important issues for the advisory industry will remain unresolved until next year: how to boost investment advisor exams—either through a self-regulatory organization (SRO) or via user fees—as well as a rule to put brokers under a fiduciary mandate.

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  A Chat With CFP Board CEO Kevin Keller: Fiduciary, SRO and His Priorities

  By Melanie Waddell, AdvisorOne  |  August 21, 2012

  Providing the SEC with the resources it needs “is the best solution" to the advisor exam problem, says Kevin Keller, but finding a way to ensure advisors face more exam scrutiny—through an SRO or user fees paid to the SEC—will be a “long-term issue.”

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  Morgan Stanley Loses Manager, Reps to Janney and Wells Fargo

  By Janet Levaux, AdvisorOne  |  August 20, 2012

  As Morgan Stanley continues to cut costs and find other ways to boost results, its rivals are picking up departing branch managers and advisors.