Melanie Waddell, AdvisorOne

About the Author

Melanie Waddell, AdvisorOne

Melanie is the Washington Bureau Chief and Editor of the Practice Channel on AdvisorOne.com. 

Early in her career, Melanie covered financial issues at American Banker in Washington. For more than 15 years, Melanie has been covering investment-related issues, entering the advisor universe in a senior level editorial position at American Banker/Thomson Media in both Washington and New York. After seven years at Thomson, now Reuters, Melanie joined the Investment Advisor team. 

Melanie has been a columnist for Investment Advisor for nine years, and holds a Bachelor’s degree in English from Towson University.

Reach Melanie at mwaddell@investmentadvisor.com.

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  Obama Names Replacements for SEC’s Walter, Paredes

  By Melanie Waddell, AdvisorOne  |  May 24, 2013

  Kara Stein of Sen. Jack Reed’s office will replace Walter, while Senate Banking economist Mike Piwowar will replace Paredes.

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  FINRA on Record Enforcement Pace in ’13, Enforcement Chief Says

  By Melanie Waddell, AdvisorOne  |  May 24, 2013

  “FINRA enforcement continues to have a strong caseload, with a record number of cases on the same pace this year as last,” said Brad Bennett, FINRA’s chief of enforcement.

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  House Measure to Slow Fiduciary Rulemaking Poses Little Threat: Industry Officials

  By Melanie Waddell, AdvisorOne  |  May 23, 2013

  A discussion draft introduced Thursday designed to stymie efforts by the SEC and DOL to craft fiduciary rules will prove to be of little consequence, fi360's Duane Thompson and other experts said.

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  FINRA Inks Deal With Direct Edge, Gains Oversight of 90% of Equity Trading Volume

  By Melanie Waddell, AdvisorOne  |  May 22, 2013

  FINRA announced Wednesday that Direct Edge, the third-largest stock exchange operator in the U.S., has made a deal with FINRA to provide market surveillance services on behalf of Direct Edge's two licensed stock exchanges.

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  5 Indie BDs Ordered to Pay $9.6M for Nontraded REIT Violations

  By Melanie Waddell, AdvisorOne  |  May 22, 2013

  Massachusetts Securities Regulator William Galvin ordered five IBDs to pay $8.6 million in restitution to investors and fined them a total of $975,000 for improper sales of nontraded REITs.

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  William Galvin: The 2013 IA 25 Extended Profile

  By Melanie Waddell, AdvisorOne  |  May 22, 2013

  Since taking on an additional 139 advisors with $6.6 billion in assets under the Dodd-Frank “switch,” Massachusetts has “been able to do what the Securities and Exchange Commission hasn’t.”

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  FINRA’s Ketchum to SEC: Act Now on Fiduciary, or We’ll Make Our Own Disclosure Rules

  By Melanie Waddell, AdvisorOne  |  May 21, 2013

  Ketchum said, that without action, FINRA would “look hard” at issuing “an additional disclosure rule with respect to broker-dealer firms.”

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  FINRA Fines LPL $9M for Failing to Monitor Emails

  By Melanie Waddell, AdvisorOne  |  May 21, 2013

  FINRA announced Tuesday that it fined LPL for 35 separate, “significant email system failures,” and for making material misstatements to FINRA during its investigation.

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  Bond Investors Must Prepare for Rate Spike: SEC’s Walter

  By Melanie Waddell, AdvisorOne  |  May 20, 2013

  At the FINRA conference, the former SEC chairwoman said that she continues to be “disturbed” by how the SEC has “ignored” the fixed-income market.

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  SIFMA Names Former Sen. Gregg as CEO

  By Melanie Waddell, AdvisorOne  |  May 20, 2013

  SIFMA announced Monday that former Sen. Judd Gregg has been appointed CEO and that Ken Bentsen, acting president and CEO, is now president.