The Profession

PLAN B

Posted in The Profession
Saturday, January 7. 2012
It's time to consider an alternative SRO in case Congress grants FINRA's regulatory desires. As it happens, we already have something to work with. [Read more »] 

Cost-Benefit Regulation

Posted in The Profession
Sunday, December 18. 2011
The Financial Planning Coalition and Investment Advisers Association have issued a devastating analysis of the cost of FINRA regulation compared with the SEC. But also notice the SEC's remarkable lack of staff productivity. [Read more »] 

The Man Who Owns Financial Planning

Posted in The Profession
Saturday, September 10. 2011
David Loeper and his companies have been granted two patents on some processes which might look an awful lot like what you do as a matter of professional routine. [Read more »] 

COMING SOON TO A LOCATION NEAR YOU

Posted in The Profession
Wednesday, July 6. 2011
Schwab's new Independent Branch Services division will begin opening up new offices all over the country--staffed by advisors and breakaway brokers. [Read more »] 

Michael Lewis on Wall Street's Excesses

Posted in The Profession
Wednesday, June 15. 2011
An author and former Wall Streeter offers his take on how to clean up the brokerage business [Read more »] 

Three Problems In Search of a Solution

Posted in The Profession
Sunday, May 29. 2011
A Washington insider talks about the major problems that your politicians are not addressing effectively. [Read more »] 

Bailout Prevention Therapy

Posted in The Profession
Sunday, May 29. 2011
What can we do to prevent another 2008? [Read more »] 

Rethinking Everything

Posted in The Profession
Monday, May 9. 2011
Rekon Intelligence is reinventing the whole idea of exhibit halls and creating a new interface between advisors and the companies that work with them. [Read more »] 

The SEC's Long-Awaited Regulatory Harmonization Report to Congress

Posted in The Profession
Monday, January 31. 2011
Here's a detailed review of the SEC's view on how broker-dealer and RIA registration should be harmonized, and the fiduciary standard applied in the profession at large. [Read more »] 

Specialty Planning

Posted in The Profession
Monday, January 3. 2011
The CPA/PFS designation represents an alternative to the CFP. Is it also a challenge? [Read more »] 

The Levels of Delegation

Posted in The Profession
Wednesday, December 1. 2010
ActiFi has created a way make the whole confusing process of delegation clear and simple. [Read more »] 

Marketing the Mark

Posted in The Profession
Tuesday, November 2. 2010
You'll have to decide for yourself whether the CFP Board has adequately thought through its proposed new marketing campaign, and whether the additional cost would be money well-spent. [Read more »] 

Bob Veres E-Column: The Fiduciary Acquisition Model

Posted in The Profession
Friday, August 27. 2010
If you're looking for more scale in your advisory practice, this may be the best news you'll hear all year. [Read more »] 

Fiscal Fixes

Posted in The Profession
Saturday, May 8. 2010
The former U.S. Treasury Secretary describes our current fiscal mess, and then offers some nontraditional solutions. [Read more »] 

What Might Have Been

Posted in The Profession
Friday, April 2. 2010
The CEO of Fiduciary 360 offers a look at what the next SEC study on regulatory reform might, if its researchers were motivated, find and conclude about our dysfunctional industry. [Read more »] 
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