Court of Appeals in Washington

• Interesting Times

  By Kathleen McBride, AdvisorOne  |  June 1, 2007

  Sweeping changes are whirling across the independent broker/dealer landscape in 2007, with major changes at, and coming from, the NASD, SEC, and potentially, Congress. Although...

• Exemption Vacation

  By Kathleen McBride, AdvisorOne  |  May 1, 2007

  "To be, or not to be?" a fiduciary (with all apologies to Bill Shakespeare) is the question of the hour for broker/dealers. While nobody is...

• Investor Forecast: Fog

  By Staff Writer  |  April 26, 2007

  The Consumer Federation of America (CFA), a consumer advocacy organization, and Zero Alpha Group (ZAG), a group of fee-only investment advisors, unveiled in an April 26 conference call results of a survey showing that individual investors remain very unclear about whether the financial professionals they deal with for investments and...

• News & Products

  By Staff Writer  |  September 1, 2006

  The SEC issued a Request for Proposals (RFP) due August 24 for phase one of a major study of how regulators' rules for investment professionals...