David Bellaire

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  FINRA Pulls Plug on BrokerCheck Social Media Plan

  By Melanie Waddell, AdvisorOne  |  April 24, 2013

  After complaints, FINRA on Wednesday withdrew its proposed requirement that advisory firms include a reference and a link to BrokerCheck on their websites.

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  State Securities Regulators to Hike Exam Fees for Series 63, 65 and 66

  By Melanie Waddell, AdvisorOne  |  April 17, 2013

  Despite increased costs of maintaining the exams, NASAA says the exam fees have not increased for the past four years.

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  FINRA Goes for Round Two on Membership Rule Changes

  By Melanie Waddell, AdvisorOne  |  February 21, 2013

  FINRA plans to issue a revised proposal on membership requirements after the self-regulator received pushback from the industry during its first attempt.

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  Record Attendance, Upbeat Mood at FSI Conference

  By John Sullivan, AdvisorOne  |  January 29, 2013

  The new year finds the Financial Services Institute optimistic and on a roll.

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  FSI’s FA Membership Growth Strategy Appears to Be Working

  By James J. Green, AdvisorOne  |  January 29, 2013

  Subsidizing individual FA membership gets advisors in the door, and advocacy success keeps them, says FSI leadership.

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  Court Rules Brokers Are Independent Contractors, Not Employees

  By Gil Weinreich, AdvisorOne  |  August 23, 2012

  The victory for Waddell & Reed has potentially far-reaching consequences for BDs because the brokers filing suit alleged that some SEC and FINRA regulations indicated the sort of control found in an employee relationship.

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  FINRA’s New Suitability Rules: Half a Loaf, but…

  By Bob Clark, AdvisorOne  |  July 10, 2012

  ...they also show that the majority of brokers today are offering investment advice far beyond what any rational observer would categorize as “usual and incidental” to the sale of securities

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  Industry Groups to DOL: Fiduciary IRA Request 'Difficult'

  By Melanie Waddell, AdvisorOne  |  January 24, 2012

  After a Tuesday meeting with DOL over its fiduciary IRA request, industry trade groups are still limited in how much help they can provide.

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  FSI Doubles FA Membership in One Year. Will They Stay?: FSI OneVoice 2012

  By John Sullivan, AdvisorOne  |  January 24, 2012

  FSI’s senior staff and leadership discussed the organization’s strong growth rate, regulatory challenges faced by IBDs and the issues they face when attempting to bring “quality, affordable financial advice to middle America.”

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  As Academic Research Shows, Disclosure Fails to Protect Investors From Advisors’ Conflicts

  By Knut A. Rostad  |  September 22, 2011

  Just listen to Yale Management Professor Daylian Cain's sobering view: “Conflicts of interest are a cancer on objectivity. Even well-meaning advisors often cannot overcome a conflict and give objective advice."