Dodd-Frank Act

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  New SEC Chairwoman Walter Appoints Two Acting Directors

  By Melanie Waddell, AdvisorOne  |  December 17, 2012

  During her first day as the new chairman of the SEC, Elisse Walter appointed two acting directors, one to the Division of Corporation Finance and the other to Trading and Markets.

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  3 Reforms of Money Market Funds Advanced by FSOC

  By Melanie Waddell, AdvisorOne  |  November 13, 2012

  The Financial Stability Oversight Council, using authority under Dodd-Frank, votes unanimously on the proposals and seeks public comment.

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  Industry Groups Press DOL for ‘Progress Report’ on Fiduciary Redraft

  By Melanie Waddell, AdvisorOne  |  March 13, 2012

  The Financial Services Institute and Financial Services Roundtable are pressuring the Department of Labor to release a “progress report” on the department’s redrafting of its rule amending the definition of fiduciary under ERISA.

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  SEC’s Schapiro to Congress: Budget Boost Needed to Modernize EDGAR, Add Staff

  By Melanie Waddell, AdvisorOne  |  March 6, 2012

  SEC chairman says 676 new employees could be added under Obama budget request; agency reviewing regional offices.

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  SEC, CFTC Issue Joint Rule Proposal on Identity Theft

  By Melanie Waddell, AdvisorOne  |  February 28, 2012

  The SEC on Tuesday announced a rule proposal to help protect investors from identity theft by ensuring that broker-dealers, mutual funds, and other SEC-regulated entities create programs to detect and respond appropriately to red flags.

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  11 Predictions for 2012 Election by UBS: The Issues

  By Melanie Waddell, AdvisorOne  |  February 23, 2012

  UBS Wealth Management recently released its first in a series of five Election Watch 2012 reports designed to guide investors through the critical issues and developments of this pivotal year for the political landscape.

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  SEC Tightens Rule on Advisory Performance Fees

  By Melanie Waddell, AdvisorOne  |  February 16, 2012

  The SEC announced Thursday that it is tightening its rule on investment advisory performance fees to raise the net worth requirement for investors who pay performance fees by excluding the value of the investor’s home from the net worth calculation.

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  Industry Opponents Slam Volcker Rule as Volcker Defends It

  By Joyce Hanson, AdvisorOne  |  February 14, 2012

  The controversial Volcker rule that regulates proprietary trading came in for a final round of comment as frustrated bankers, activists and Paul Volcker himself flooded government regulators with statements.

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  Who Will Regulate the Regulators?

  By Gil Weinreich, AdvisorOne  |  January 31, 2012

  Why did U.S. regulators fail to react to the alarming increases in leverage at financial institutions, or the shift of trillions of dollars of assets from banks’ balance sheets that were packaged into complex securities? Three former regulators propose a solution to what ails our regulatory system.

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  SEC Exam Chief to AdvisorOne: SRO Option Still Viable

  By Melanie Waddell, AdvisorOne  |  January 31, 2012

  Carlo di Florio, director of the SEC's Office of Compliance Inspections and Examinations, told AdvisorOne on Tuesday that the recent boost in funding that the SEC received from Congress is not enough to thwart the need for an advisor SRO.