SIFMA

• 

  Key Findings of fi360-AdvisorOne Fiduciary Survey of Advisors

  By Kathleen M. McBride, FiduciaryPath  |  April 26, 2012

  Both brokers and advisors in our second annual AdvisorOne-fi360 Fiduciary Survey agree on much, but the findings suggest a disconnect between registered reps and their leaders.

• 

  On 5th Anniversary of FPA’s Win on ‘Merrill Rule,’ Fight Continues

  By James J. Green, AdvisorOne  |  March 30, 2012

  Lawsuit whose victory surprised and delighted many changed the conversation in Washington while industry still awaits shape of a final fiduciary rule.

• 

  Allow E-Disclosures, Retirement Plan Coalition Urges DOL

  By Danielle Andrus, AdvisorOne  |  March 28, 2012

  On Tuesday, a coalition of interested parties took to their pens to urge the Department of Labor to allow plan sponsors to make required disclosures electronically.

• 

  At Bogle Event, Former SEC Chairmen Agree on Fiduciary Standard—With Caveats

  By James J. Green, AdvisorOne  |  January 31, 2012

  Harvey Pitt, David Ruder, Arthur Levitt say brokers should have a fiduciary standard: SIFMA’s Ryan agrees.

• RBC Wealth CEO Taft on Advisor Growth, Regulation

  By Janet Levaux  |  December 26, 2011

  John Taft heads RBC Wealth Management in the United States and recently stepped down as chairman of SIFMA, the financial-services lobbying group. Based in Minneapolis, he has worked in the industry since 1981 and recently spoke with Research about challenges confronting both the industry and the firm he leads.

• 

  Mary Schapiro and the Strange Case of ‘Business-Model Neutral’

  By Bob Clark, AdvisorOne  |  December 13, 2011

  Here's a thought. What if all our laws and regulations were 'business-model neutral,' like our drug and gun laws?

• 

  RBC Wealth CEO John Taft on Advisor Growth, Regulation: Weekend Interview

  By Janet Levaux, AdvisorOne  |  December 2, 2011

  The firm has encouraged advisors with low levels of fees and commissions to depart as it aims for each rep to become a $1 million producer.

• 

  ‘Volcker Rule’ Proposal Approved by FDIC; Wall St. Fumes

  By James J. Green, AdvisorOne  |  October 11, 2011

  Wall Street firms decry proposed rules to take effect in July 2012; FDIC will accept comments until Jan. 13.

• 

  As NASAA’s New President, My Top Priorities: SRO and ‘The Switch’

  By Jack Herstein, NASAA  |  October 3, 2011

  It looks like Rep. Bachus’ draft SRO bill would nationalize the regulation of small- and mid-sized advisors. NASAA believes this would be a costly mistake that will not benefit Main Street investors.

• 

  When Is a Broker Not a Broker? When Their Clients Believe They Are Getting Advice

  By Bob Clark, AdvisorOne  |  September 6, 2011

  Reader comments on the WSJ's take on a fiduciary standard and retirement plans prompt a thoughtful response from Mr. Clark