Andrew

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  Fiduciary Duty Concept Release Likely by Summer: Ex-SEC Exec

  By Melanie Waddell, AdvisorOne  |  April 23, 2012

  The SEC may likely issue a concept release this summer regarding putting brokers under a fiduciary mandate, Andrew “Buddy” Donohue, the former director of the SEC’s Division of Investment Management, said Monday.

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  Eileen Rominger, SEC: The Extended 2011 IA 25 Profile

  By James J. Green, AdvisorOne  |  May 16, 2011

  Introducing Eileen Rominger to a room full of compliance professionals, David Tittsworth coaxed laughter from the audience when he said, “I think it’s fantastic that she’s not an attorney. She’s a real portfolio manager!”

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  SEC Appoints New Head of Investment Management

  By Melanie Waddell, AdvisorOne  |  January 19, 2011

  The SEC has selected Eileen Rominger as its new Director of Investment Management, replacing Andrew “Buddy” Donohue, who left the post in November 2010.

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  As SEC Loses Two Key Directors, a Replacement Is Named

  By Melanie Waddell, AdvisorOne  |  November 23, 2010

  As the SEC loses two key players from its team--Buddy Donohue and Henry Hu--Jennifer McHugh will take over for Donohue.

• Buddy Donohue, SEC's Investment Management Director, to Leave Agency in November

  By Melanie Waddell, AdvisorOne  |  August 17, 2010

  Andrew "Buddy" Donohue, director of the Securities and Exchange Commission's Division of Investment Management, is leaving the agency in November.

• 12b-1 fee reform dead (for now)

  By Staff Writer  |  May 1, 2009

  "As far as 12b-1 fees are concerned, it will go a long way if we just call them what they are, which are a fee...

• Group Think

  By Staff Writer  |  April 1, 2009

  ? The SEC and FINRA are hosting five regional CCOutreach BD regional seminars beginning May 13 for broker/dealer firms. The seminars will feature panelists from...

• SEC Won't Pursue 12b-1 Reform

  By Melanie Waddell, AdvisorOne  |  March 26, 2009

  Donohue says priority this year will be B/D and advisor regs

• What's New With 12b-1s

  By Staff Writer  |  July 1, 2008

  Andrew "Buddy" Donohue, director of the SEC Office of Investment Management, revealed some more details about how 12b-1 fees would likely be treated under a...

• The Foreclosure Trap

  By Julian Block  |  November 1, 2007

  The newspapers have all tolled the sad news: As house prices flatten or decline throughout most parts of the country, more borrowers become "upside downers"...