SIFMA

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  SIFMA Names Former Sen. Gregg as CEO

  By Melanie Waddell, AdvisorOne  |  May 20, 2013

  SIFMA announced Monday that former Sen. Judd Gregg has been appointed CEO and that Ken Bentsen, acting president and CEO, is now president.

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  Principles vs. Rules: The Fiduciary Debate in a Nutshell

  By James J. Green, AdvisorOne  |  October 25, 2012

  At TD Ameritrade conference, CFA's Roper, IAA's Tittsworth and SIFMA's Carroll agree, disagree and look ahead at fiduciary standard, SRO for RIAs.

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  Loring Ward Helps Parents Teach Kids About Money

  By Danielle Andrus, AdvisorOne  |  August 3, 2012

  Helping families teach children about finances is a way advisors can take “a more comprehensive, holistic approach to wealth, instead of only focusing on investments,” a Loring Ward executive says.

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  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.

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  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.

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  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.

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  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, AdvisorOne  |  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.

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  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?

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  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.