Inside Information - Parting Thoughts

Fixing the SEC

nospam@example.com (Admin) — Sun, 01 Aug 2010 15:23:06 -0400

This is the second of two comment letters sent to the SEC as part of its feedback collection process on fiduciary standards and regulation of brokerage houses and financial advisors.
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The Point

nospam@example.com (Admin) — Sun, 01 Aug 2010 15:21:12 -0400

Round one of the lobbying for a fiduciary standard is over; Congress has essentially punted the ball to the SEC for further study. Round two begins with the SEC asking for feedback from... just about everybody with a pulse. What follows is a comment letter to our regulators--with an invitation to all of you to submit your own.
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The Next Lobbying Effort

nospam@example.com (Admin) — Fri, 02 Jul 2010 03:35:30 -0400

After the planning regulation effort in Congress, it may be time for the profession to start speaking out on some broader (and more important) issues.
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Fiduciary Lite

nospam@example.com (Admin) — Wed, 26 May 2010 19:56:18 -0400

How the SEC could start accustoming brokerage firms to fiduciary standards of behavior.
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Middlemen vs. Fiduciaries

nospam@example.com (Admin) — Sat, 08 May 2010 16:17:36 -0400

Should Fabulous Fab and Goldman be held to a fiduciary standard?
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Conflicts, Conflicts Everywhere

nospam@example.com (Admin) — Mon, 05 Apr 2010 20:04:00 -0400

Are financial planners the only professionals who have to guard against conflicts of interest?
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Pyrrhic Victory?

nospam@example.com (Bob Veres) — Mon, 01 Mar 2010 22:38:00 -0500

Wirehouses have won this round in Congress. Will they win the war?
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LOOKING AHEAD, BACKWARDS

nospam@example.com (Bob Veres) — Tue, 09 Feb 2010 02:00:00 -0500

Some of my readers think this is the last year of the 2000s, and that January 1, 2011 properly begins the new decade. So we are either in the last or the first year of a decade; either way, I think it might be a good time to assess the changes we and the profession have experienced over the past ten years, and spend a moment thinking about the things which are obvious now which were not so obvious then.
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THE PROMISE AHEAD

nospam@example.com (Bob Veres) — Fri, 29 Jan 2010 17:32:22 -0500

Why do we allow ourselves to break the promises we make to ourselves?
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UNCLEAR SAILING

nospam@example.com (Bob Veres) — Fri, 29 Jan 2010 17:22:45 -0500

Preparing for the next wave of change in the planning profession.
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SPOTLIGHT TO THE RESCUE

nospam@example.com (Bob Veres) — Fri, 29 Jan 2010 17:12:20 -0500

Who are our natural allies in the fight for a fiduciary standard?
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