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Investment Advisor February 2009 Melanie Waddell	Is Mary What the SEC Needs? The alternative to FINRA overseeing advisors, and what advisors would definitely prefer, is a self-regulatory organization.
Registered Rep. September 2, 2009 John Churchill	SEC Blew It With Madoff, Inspector General Says SEC Chairman Mary Schapiro announced the release today of the Office of the Inspector General's report on the Bernard Madoff fraud. It says, in short, the SEC screwed up in every way possible.
Registered Rep. January 15, 2009	Schapiro's Replies: Blame The SEC--Not FINRA--For Madoff It wasn't her job, man.
Investment Advisor February 2009 Melanie Waddell	Teaming Up for Change The National Association of Personal Financial Advisors, the Financial Planning Association, and the Certified Financial Planner Board of Standards -- which have joined forces to lobby Congress on financial services reform -- christen themselves the Financial Planning Coalition.
Investment Advisor July 2010 Melanie Waddell	A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.
Investment Advisor March 2009 James J. Green	Broker/Dealer Briefing: A Shot Over the Bow FINRA is quietly conducting a sweep of broker/dealers that could be the first steps to having the SRO take over regulation of registered investment advisors from the SEC -- something the former NASD has long desired.
Investment Advisor June 2010 Melanie Waddell	FINRA's Ketchum Sees a Fiduciary Future for B/Ds Inappropriate sales of VAs to seniors at top of FINRA regulatory radar.
Investment Advisor February 2009 James J. Green	Growth, and Advocacy A conversation with Diahann Lassus, NAPFA Chair, about NAPFA's growth, what the reaction will be in Washington to the Bernie Madoff scandal, and what NAPFA hopes to accomplish with the financial planning coalition.
Registered Rep. May 15, 2009 Kristen French	SEC Proposes Anti-Ponzi Rules. Do They Fall Short? Surprise exams and reviews by third party accountants: These are the new measures the SEC proposed to combat ponzi schemes like the one Bernie Madoff pulled off.
Registered Rep. September 13, 2011 Kristen French	Long Legislative Fight Kicks Off with House Hearing On SRO, Fiduciary Standard Congressman Scott Garrett opened Tuesday's House Financial Services Committee hearing on an SRO for investment advisers and a fiduciary standard for broker/dealers with a threat.
Registered Rep. January 14, 2009	Schapiro, FINRA Head And Obama's SEC Chair Selection Head To D.C. Tomorrow For A Confirmation Hearing Mary L. Schapiro heads to Capitol Hill tomorrow morning for the hearing on her Senate confirmation as President-elect Barack Obama's nominee to chair the U.S. Securities and Exchange Commission.
Investment Advisor April 1, 2011	SEC and the Fiduciary Study: Politics and the Fiduciary Standard AdvisorOne Wealth Editor Kate McBride explains the political process under which Dodd Frank was passed, up to the SEC's reports on an SRO and fiduciary standard
Registered Rep. March 9, 2011 Kristen French	Law Students, Mercer Bullard Launch SRO For Investment Advisers Their group would rival FINRA, the self regulatory agency for broker/dealers and currently the leading contender for the job.
Investment Advisor February 2008 Melanie Waddell	A Groundbreaker SEC's Rand report, of the broker/dealer and investment advisory industries will dominate the discussion among brokers and advisors in 2008.
Investment Advisor May 2010 David Tittsworth	What a Reinvigorated SEC Will Mean for You The first in a series of occasional commentaries by the executive director of the Investment Adviser Association.
Investment Advisor May 2008 Melanie Waddell	Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers.
Investment Advisor July 2009 Bob Clark	Clark at Large: Reality Check Washington is far more likely to tweak the existing system than to rewrite the investment advisor legislation.
Investment Advisor March 2010 James J. Green	B/D News Bulletins and news of interest to broker/dealers from FINRA and the SEC.
Financial Planning December 1, 2010 Donna Mitchell	Turning on the Charm Next month the SEC reports to Congress on its recommendations for enhancing examinations for investment advisors. FINRA, meanwhile, is trying to persuade movers and shakers on the Hill that it already has the answers.
Investment Advisor November 2009 Melanie Waddell	Danger & Opportunity: Healthcare, Financial Services Reform Making Headway Two of the Obama Administration's top priorities to accomplish by year-end -- healthcare and financial services reform -- are well on their way to fruition.
Investment Advisor June 2009	Group Think Industry association news: Call for legislation to oversee the financial planning profession... New member programs from NAIBD... NAVA has hired Chris Paulitz as Vice President of Communications and Public Affairs...
Investment Advisor May 2009 Melanie Waddell	Danger & Opportunity: The SEC Reformation An exclusive interview with SEC chief Mary Schapiro regarding financial services reforms.
Registered Rep. June 25, 2010 Kristen French	The Final Wall Street Reform Bill And You After a herculean 20-hours straight of negotiations, Congressional committee members agreed Friday morning to a Wall Street reform package that will be much tougher on the country's banks.
Investment Advisor August 2009 Melanie Waddell	Congress Presses Schapiro to Protect Investors While members of Congress praised SEC Chairman Schapiro for acting quickly to institute changes at the agency, lawmakers said more work needs to be done to protect investors.
Investment Advisor July 2009 Melanie Waddell	Danger & Opportunity: Bracing for Change It looks to be all but inevitable that the rules for broker/dealers and investment advisors will be harmonized, and that broker/dealers offering investment advice will have to adhere to a fiduciary standard of care.
Registered Rep. December 11, 2009 Kristen French	House Passes Regulatory Reform, SRO Up In The Air The Wall Street Reform and Consumer Protection Act of 2009 passed by a narrow margin. But it will still be a long time before the regulatory future for broker/dealers and investment advisers is clear.
Investment Advisor February 2010 Melanie Waddell	Washington Watch: Fiduciary Wrangling Resumes Groups urge Dodd and Shelby to maintain strong fiduciary language in reform bill.
CFO February 1, 2009 Edward Teach	The SEC under Schapiro Can Mary Schapiro restore investors' confidence in the beleaguered regulator?
Investment Advisor February 2009 Melanie Waddell	Mary Schapiro's Priorities Mary Schapiro tells the Senate Banking Committee what her priorities will be at the SEC.
Financial Advisor July 2011 Andrew Gluck	Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance.
Registered Rep. December 15, 2011 French & Britton	Updated: Boston Consulting Group Report: FINRA Twice as Costly SEC for Investment Adviser Oversight According to BCG's report, which was sponsored by firms and groups who support having the SEC oversee investment advisers, setting up FINRA to oversee investment advisers would be twice as costly as giving the SEC the funding it needs.
Financial Planning December 1, 2011 Bob Veres	Regulatory Armaggedon The Republican leadership in Congress has proposed that the SEC authorize one or more self-regulatory organizations to take over regulation of RIAs. This has been coordinated with massive Wall Street lobbying.
Investment Advisor August 2009 Bob Clark	Clark at Large: Something About Mary The drive to reregulate financial advice shifted into high gear on June 17, when the Obama Administration released its white paper containing proposals for 21st Century Financial Regulatory Reform, and passes it to SEC chair Mary Shapiro.
Registered Rep. December 16, 2008 Bill Singer	Have Arthur Levitt's Words Come Back to Haunt Him? On the heels of the recent lurid discoveries about Bernard Madoff's multi-billion-dollar fraud, former SEC Chair Arthur Levitt is quoted in the article as saying: "At this point, I don't see any evidence that the SEC dropped the ball."
Registered Rep. January 11, 2011 Kristen French	Expect SRO For Advisers, Fiduciary Fix For Brokers Compliance consultants, securities lawyers and lobbyists overwhelmingly agree that the SEC will recommend both.
Investment Advisor April 1, 2011 Ron Rhoades	An Alternative to FINRA Oversight "I expect FINRA and its allies to continue to push to extend its jurisdiction to some or all investment advisors," says Investment Adviser Association Executive Director David Tittsworth.
Investment Advisor April 2008 Elizabeth D. Festa	FINRA and SEC Look to Build Bridges Seminars for chief compliance officers includes recommendations for keeping the lines of communication open between broker firms, the Financial Industry Regulatory Authority, and the Securities and Exchange Commission.
Investment Advisor March 2009 Melanie Waddell	When It Pays to Fight City Hall An annual analysis of litigated disciplinary proceedings brought by the SEC and FINRA against broker/dealers and registered representatives shows that it sometimes pays for B/Ds and reps to litigate against the regulators.
Investment Advisor April 1, 2011 Melanie Waddell	GOP's End Game in Nixing SEC Funds: Stopping Dodd-Frank Republicans' rehashing of supposed failures at the SEC is 'counter-productive,' says former Chairman Harvey Pitt
Investment Advisor October 2009 Melanie Waddell	Danger & Opportunity: Financial Services Reform Bill Inevitable Financial services reform is still alive and kicking, as President Obama made very clear as he renewed his push for reforms during his speech to Wall Street.
Investment Advisor May 2010 Bob Clark	Clark at Large: Hope and Change Hope is waning for a fiduciary standard for brokers. But the battle's not over yet.
Investment Advisor December 21, 2010 James J. Green	FSI Endorses FINRA as SRO for Investment Advisors Dale Brown says FINRA option is "best way to address the regulatory gap."
Investment Advisor September 2010 Thomas D. Giachetti	The Compliance Coach: Will the SEC Ever Learn? Don't Count On It Get ready for new custody and ADV rules, and the $100 million threshold.
On Wall Street February 1, 2013 Kenneth Corbin	Regulatory Forecast Bodes Change Advisors could see talks on oversight and a fiduciary standard move forward this year.
Investment Advisor July 1, 2011 Melanie Waddell	Fiduciary D-Day Arrives As the SEC launches into rulemaking, lots of 'thorny issues' will surface.
Registered Rep. March 27, 2006 Kristen French	SEC Targets Investment Traps Set For Seniors The move against the "free lunch," as they are generally called, is part of a larger initiative launched to protect senior citizens from investment scams and unsuitable recommendations.
Registered Rep. August 30, 2011 Kristen French	House Plans Hearing on SRO for Advisors for Sept. 13 The subcommittee is expected to review who should be responsible for examining investment advisers.
Investment Advisor May 2009 Bob Clark	Clark at Large: Creationism Investors and other financial consumers would be best served by a Glass-Steagall clone, separating financial advice from any and all financial product manufacturing, marketing, or sales.
Registered Rep. September 8, 2011 French & Britton	House Proposes Bill That Would Give SROs Oversight of Investment Advisers The bill was trotted out by House Financial Services Committee Chairman Spencer Bacchus in advance of a Sept. 13 hearing to review provisions of Dodd-Frank that govern the regulation of broker/dealers and investment advisers.
Investment Advisor March 2009 Melanie Waddell	Reform Is on the Way SEC Chairwoman Mary Schapiro is laying the groundwork for a significantly beefed up enforcement division at the Commission.