retail customers

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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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  Vanguard’s Bogle to SEC’s Schapiro: Include Institutional Advisors in Fiduciary Rule

  By Melanie Waddell, AdvisorOne  |  September 11, 2012

  In the debate over how to shape a fiduciary mandate for brokers, Vanguard founder John Bogle says that the SEC should include in its rule advisors to registered investment companies, which have been “ignored.”

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  Clearing's New Space

  By Jane Wollman Rusoff  |  August 23, 2012

  In these challenging times—lethargic economy, record-low interest rates, high market volatility, softer trading volumes and a regulatory overhaul—the top firm in the clearing space has decided to totally transform its business model.

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  A Tale of Two Futures: Will You Be the Best Advisor for Clients, or the Worst?

  By Liz Davidson, Financial Finesse  |  August 6, 2012

  Consumers are ready to be proactive about their financial planning, but we believe that there will be an increasing bifurcation between advisors who cling to a transactional mindset and those who operate as true consultants to their clients.

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  The Spirit of Scottrade: Little Firm Pushes Big Value

  By John Sullivan, AdvisorOne  |  June 26, 2012

  If you haven’t heard of Scottrade Advisor Services, you’re forgiven. Started in 2005, it resides in the decidedly non-financial hub of St. Louis, but the institutional business is coming on strong, finding a niche among the big boys.

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  Hearing on Bachus' SRO Bill Set for June 6

  By Melanie Waddell, AdvisorOne  |  May 22, 2012

  The House Financial Services Committee announced Wednesday that it will hold a hearing on June 6 on the redraft of Rep. Spencer Bachus’ bill calling for an SRO to oversee advisors.

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  Bachus Reintroduces SRO Bill

  By Melanie Waddell, AdvisorOne  |  May 22, 2012

  House Financial Services Chairman Spencer Bachus reintroduced in late April his draft bill calling for a self-regulatory organization (SRO) for advisors.

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  Mary Schapiro: The 2012 IA 25 Extended Profile

  By Melanie Waddell, AdvisorOne  |  May 8, 2012

  On two of the top issues affecting the investment advisory space, Mary Schapiro, chairman of the Securities and Exchange Commission, is adamant: Brokers should be held to a fiduciary mandate and a self-regulatory organization to help the agency examine advisors must be explored.

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  FINRA Sanctions Citigroup, Wells Fargo, Morgan Stanley and UBS for ETF Violations

  By Melanie Waddell, AdvisorOne  |  May 1, 2012

  The Financial Industry Regulatory Authority (FINRA) announced Tuesday that it has sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co.; UBS Financial Services; and Wells Fargo Advisors, a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a...

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  Bachus, McCarthy Introduce SRO Redraft

  By Melanie Waddell, AdvisorOne  |  April 25, 2012

  House Financial Services Chairman Spencer Bachus reintroduced on Wednesday his draft bill calling for an SRO for advisors—one week after industry sources told AdvisorOne that an SRO bill was imminent.