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Financial Organizations Protest Bill On Fiduciary Definition

Seven financial services industry and consumer organizations are protesting a bill pending in Congress that the organizations say would harm consumers by hindering the DOL and SEC from making changes to the definition of a fiduciary.
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SEC’s Money-Fund Compromise Faces Opposition In Final Battle

The mutual-fund industry, in what may be the last round of lobbying against tighter rules for money-market funds, rejected a scaled-back proposal to force only the riskiest funds to give up their stable $1 share price.
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Sudden Stock Crashes Mostly Show Human Error, SEC’s Berman Says

Concern that American stock markets have become more susceptible to split-second crashes due to computerization isn’t supported by the data, an SEC official said.
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Congressional Members Ask For Care In Redefining Fiduciary

Members of the Congressional Black, Hispanic and Pacific Asian caucuses have asked the Department of Labor to not harm their constituents in revising the definition of a fiduciary.
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Trone: Dodd-Frank A Horror; Fiduciary Movement Has Lost Its Way

The Dodd-Frank Act will make it easier for dishonest advisors to hide within the system and make it more difficult for honest advisors to effectively serve their clients, a leading fiduciary consultant says.
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Scout International Funds’ Moffett: Sees Good Firms In Europe, Likes Colombia

Scout International Fund is finding value in good companies in Europe, even as the continent struggles to move out of its economic recession, says manager Jim Moffett.
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Top Finra Regulator Resigns After Word Of Bingo Fraud Is Leaked

A top Finra official resigned after the agency was informed he was indicted for felony theft and charitable bingo fraud in 1993, the year he joined the agency.
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Financial Advisor Blogs

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Portfolio Manager Insights

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Inside the current issue

Redesigning Success
by Eric Rasmussen
The advisors at JMG Financial Group decided they had to tear up their organization and start over if they were going to have a future.
The Mysterious Magic Of Mergers
by Philip Palaveev
Hundreds are going on in the advisory business, but doing them successfully is a challenge.
Feathering An Advisory Nest
by Mary Rowland
Laura Schilling has opened a firm staffed with stay-at-home moms.

Expert Views

Today's Economy May Make Tax-Deferred 401(k) Plans A Bad Deal

Guiding your clients toward an approach that hedges against the risk of both tax-rate increases and decreased stock values may give them a much safer path toward protecting their retirement savings.
Chains, Stains, And Pains Of Retirement

Advisors need a new combination of skills to help prepare clients for retirement -- skills that go beyond dollars and cents.

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Financial Advisor Videos

On The move

Trust Company Of America Appoints Board Member

Robert MacDonald, former global chief marketing officer of 3M, has joined the firm’s board of directors.
Raymond James & Associates Recruits Advisor

Cynthia Woodsmall Jones has joined the firm in Georgia.
Raymond James Recruits $1.9 Million Team

Dashboard Wealth Advisors has joined the firm in Oak Brook, Ill.
Cordium Makes Two Senior Appointments

Peter Guarino and Vivek Pingili have joined the firm as vice presidents.

FA Green

Obama To Outline Climate-Change Steps In ‘Weeks,’ Aide Says

President Barack Obama will outline “commonsense” steps to tackle climate change in the weeks ahead, White House energy adviser Heather Zichal said, confirming what the president is telling donors privately.

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