retail customer

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  Without Fiduciary Rule Collaboration, Cost-Benefit Analysis ‘Worthless’

  By Melanie Waddell  |  April 29, 2013

  Comments have been flooding into the Securities and Exchange Commission regarding the agency’s March 1 request for input on the costs and benefits of putting brokers under a fiduciary mandate.

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  SEC, DOL Must Collaborate on ‘Overlapping’ IRA Fiduciary Standards: Attorney Mason

  By Melanie Waddell, AdvisorOne  |  April 15, 2013

  The failure of the SEC and DOL to collaborate on their “overlapping” fiduciary rules on IRA advice will render the SEC’s current cost-benefit analysis worthless, says Kent Mason of Davis & Harman.

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  FINRA CEO: BrokerCheck Revamp Won’t Include Test Scores

  By Melanie Waddell, AdvisorOne  |  May 21, 2012

  At FINRA's annual conference, Richard Ketchum on Monday addressed concerns from brokers and advisors over test scores on the revamped BrokerCheck and other key issues.

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  Smith-Goldman: A Poignant Case Study on the Fiduciary Debate

  By Philip Chao, CFP, AIFA  |  April 12, 2012

  The duality of our regulations significantly contributes to a dangerous, often confusing state of affairs. Unless we restore trust, the system will rely on more regulations as a substitute.

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  TD’s New RIA Chief Vows to Maintain ‘White Glove’ Service

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

  Tom Nally, the successor to—and protégé of—Tom Bradley, says he will continue the “same passion and dedication” to the RIA model.

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  New Year, New Fiduciary Rule?

  By Melanie Waddell, AdvisorOne  |  December 28, 2011

  While SEC Chairman Mary Schapiro said in mid-December comments first reported on Bloomberg that the agency would issue a proposed fiduciary rule this year, she also stated in the Bloomberg interview that a fiduciary rule proposal will be “business model neutral” and allow brokers working with retail investors to sell...

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  Reaction to Schapiro Comments on Fiduciary Rule Are Quick and Varied

  By Melanie Waddell, AdvisorOne  |  December 9, 2011

  Bloomberg reports SEC chairman considering “business model neutral” rule that retains proprietary products, commissions; Evensky, Tittsworth, Brown and Barry respond.