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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 March 1, 2011 Melanie Waddell	House, Senate Hearings Next on Fiduciary Industry groups lobby for user fees to fund advisor exams in lieu of an SRO.
Investment Advisor August 2010 Melanie Waddell	Washington Watch: Financial Services Reform Finalized SEC gets fiduciary powers, but lack of self funding may pose trouble
Investment Advisor February 1, 2011 Melanie Waddell	Ryan Reveals GOP Budget Agenda to Investment Advisor New House Budget Committee Chair says Dodd-Frank, health care, spending all in play.
Investment Advisor June 1, 2011 Melanie Waddell	Schapiro Says SEC to Focus in July on Fiduciary, 12b-1 The Commission will look at fund regulation "in tandem" with RIA/BD reform.
Investment Advisor November 19, 2010 Melanie Waddell	GOP House Will Attempt to Rein in Health Care, Dodd-Frank Republicans will urge SEC, other regulators, to 'go easy' in interpreting Dodd-Frank
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 February 2009 Melanie Waddell	Mary Schapiro's Priorities Mary Schapiro tells the Senate Banking Committee what her priorities will be at the SEC.
Investment Advisor March 1, 2011 Melanie Waddell	SEC Fiduciary Rule May Hit by Summer Despite the advisory industry's hopes that the Securities and Exchange Commission would get a quick start on writing a rule to put brokers under the same fiduciary standard as advisors, it looks as though a rulemaking could come by summer.
CFO October 1, 2011 Sarah Johnson	Is the SEC Being "Set Up to Fail"? A bill would raise the threshold for how the securities regulator sets rules.
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
Investment Advisor June 2010 Melanie Waddell	Next Steps for Congressional Action Reconciliation of reform bills looms. Will Schapiro get fiduciary authority she wants?
Registered Rep. March 10, 2011 Kristen French	SEC Says Bigger Budget Is Supported By BCG Report In testimony before Congress Thursday, SEC Chairman Mary Schapiro made a case for an increase in the agency's funding to $1.407 billion for 2012.
Investment Advisor April 2009 Melanie Waddell	All About Enforcement It's seems a daily occurrence now that the Securities and Exchange Commission levies an enforcement action against a financial services firm
CFO April 15, 2012 Sarah Johnson	The SEC Wants a Raise The agency's FY2013 budget request meets resistance in Congress.
Investment Advisor October 2009 Melanie Waddell	SEC Criticized for Madoff Congress chides the SEC for the scathing inspector general report on Bernie Madoff.
Investment Advisor May 1, 2011	Follow the Leaders: The 2011 IA 25 Announcing the 2011 IA 25 - Fiduciary, behavior, retirement and much more
Investment Advisor October 2010 Melanie Waddell	Implications of a Republican-Controlled Congress The consensus is pretty clear: The mid-term elections could result in Republicans taking control of the House and gaining more seats in the Senate.
BusinessWeek April 5, 2004 Paula Dwyer	Mutual Funds: Carpe Diem, Congress The SEC can't restructure the industry by itself, and legislators are dawdling
Investment Advisor November 2007 Melanie Waddell	On the Agenda: Insurance and Ratings Congress looks at insurance reform and the subprime mess.
Investment Advisor February 1, 2011 Melanie Waddell	2011: The Year the Advisors' Playing Field Fundamentally Changes All eyes this year will be focused on the exchanges that will ensue between lawmakers and the Securities and Exchange Commission regarding putting brokers under a fiduciary mandate and appointing a self-regulatory organization.
Registered Rep. September 15, 2011 Kristen French	Schapiro: Republican SEC Reform Bills Could Hog Tie SEC SEC Chairman Mary Schapiro said that legislation introduced by Republicans to restructure the agency and its rulemaking process would threaten the agency's ability to write and enforce rules effectively.
Registered Rep. March 11, 2009 Halah Touryalai	Extreme Makeover: SEC With or without an increased budget, the SEC wants to make up for its shortcomings.
Searcher March 2007 Mary Alice Baish	Librarians as Change Agents: How You Can Help Influence Public Policy in the 110th Congress Key library issues for the 110th Congress.
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.
CFO February 1, 2009 Edward Teach	The SEC under Schapiro Can Mary Schapiro restore investors' confidence in the beleaguered regulator?
BusinessWeek February 10, 2011 Robert Schmidt	Starving the Regulators The SEC and the Commodity Futures Trading Commission are in a severe budget squeeze, and layoffs may be the only answer
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.
Investment Advisor January 2010 Melanie Waddell	Congress Reaches Year-End Goal A House-passed bill nixes FINRA's oversight of RIAs and a comprehensive financial services reform bill likely by the end of first quarter.
Investment Advisor September 2008 Melanie Waddell	Turf Wars A conversation with former SEC Commissioner Roel Campos about the Treasury's Blueprint for financial services reform.
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.
Investment Advisor August 2006 Melanie Waddell	Retirement Planning: Still Hammering Away Members of Congress are still hashing through a compromise bill on pension reform, and completed, the final bill may also include a provision on abolishing the estate tax.
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.
Investment Advisor June 2010 Melanie Waddell	The Regulators Never Sleep The SEC and the CFTC have formed a joint committee that will address emerging regulatory issues.
U.S. Banker July 2011 Rob Blackwell	About That Repeal... Why Dodd-Frank Isn't Going Anywhere A rollback of the Dodd-Frank financial reform law is a pipe dream. It was one from the beginning.
Investment Advisor June 2009 Melanie Waddell	Danger & Opportunity: Obama and SEC Enforcement Under Microscope As the Obama Administration was ringing in its first 100 days in office in early May, the Securities and Exchange Commission's enforcement division was awaiting a much-needed $40 million cash infusion that Congress promised was on its way.
Financial Planning May 1, 2006 Lynn Hume	Campos Mulls Law for Raters The SEC Commission member says it may be time to seek legislation that would give the SEC authority to regulate the nation's credit rating agencies.
Investment Advisor July 2010 Melanie Waddell	A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.
The Motley Fool March 24, 2009 Smith & Bleeker	Who's More to Blame: Congress or the SEC? March Stock Madness -- Second Round: Let's bullet-point some of the failures of both Congress and the SEC to determine which is more to blame for the current crisis.
Salon.com September 6, 2001 Jake Tapper	What vanishing surplus? The Republicans try to ignore budget woes, while the Democrats plot to pin the tail on the elephant...
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.
Geotimes August 2004 Emily Lehr Wallace	Budget Procrastination If the average American were aware enough of the budget process to be outraged by this governance via procrastination, perhaps the Congress would get the message and perform one of their central duties in an efficient and timely manner.
Investment Advisor October 2007 Melanie Waddell	Helping the Most Vulnerable Retirees Lawmakers, the Securities and Exchange Commission, and state regulators are bent on making sure advisors with designations touting expertise when it comes to helping seniors, the most vulnerable retirees, are closely scrutinized.
Registered Rep. January 19, 2011 Kristen French	In Dodd-Frank Report, SEC Champions User Fees Over SRO The study and report were meant to address a trifecta of problems: a history of weak oversight of investment advisers, current shortfalls in SEC funding and the regulator's rapidly expanding responsibilities under Dodd-Frank.
Investment Advisor August 2008 Melanie Waddell	Wheels of Blueprint In Motion The SEC and the Federal Reserve Board's recent Memorandum of Understanding marks a first step; but Congress says more stringent financial services regulations are warranted.
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. 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.
Registered Rep. February 13, 2012 Kristen French	Due Diligence: Obama Budget Showers SEC with Money, SRO Debate Still Strong According to the SEC's budget request, the regulator would use a chunk of that to fatten up its exam program, adding over 200 examiners.
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 1, 2011 Bob Clark	The Polar Bears Thawing out our modern black and white thinking could save the fiduciary standard. I don't usually write about politics, except when it has a direct impact on financial advice, and this appears to be one of those times.