Banking Committee

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  Mary Jo White Confirmed by Senate as SEC Chairwoman

  By James J. Green, AdvisorOne  |  April 8, 2013

  The former prosecutor was confirmed as SEC chief via unanimous consent.

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  NASAA to Push SEC User Fees, ‘Stay On Guard’ Against FINRA SRO

  By Melanie Waddell, AdvisorOne  |  March 5, 2013

  Chief among state securities regulators’ legislative agenda this year will be pushing SEC user fees, not a FINRA SRO, to better regulate advisors, NASAA President Heath Abshure said Tuesday.

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  After Obama Victory, How the New Government Is Shaping Up for Advisors: Updated

  By James J. Green, AdvisorOne  |  November 7, 2012

  Some notable newcomers—Elizabeth Warren, for one—join Congress, which remains divided between the two parties as fiscal cliff, tax issues come to fore of national agenda. FPA and FSI's leaders and lobbyists weigh in on what's next.

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  How the Election Will Shape Regulatory Policies for Advisors

  By David Tittsworth, IAA  |  September 20, 2012

  The president appoints the people who will make the most important decisions on regulatory policy that affect your profession. First up on our list of potential changes: Treasury.

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  Senate Banking’s Johnson Asks JPMorgan’s Dimon to Testify

  By Melanie Waddell, AdvisorOne  |  May 17, 2012

  Sen. Tim Johnson, D-S.D., chairman of the Senate Banking Committee, said Thursday that he planned to hold the first hearing regarding the JPMorgan losses on Tuesday, May 22.

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  Obama Uses Recess Appointment to Name Cordray to Head CFPB

  By Melanie Waddell, AdvisorOne  |  January 4, 2012

  President Barack Obama on Wednesday named Richard Cordray through a recess appointment as the director of the Consumer Financial Protection Bureau, a move that Senate Republicans cried is unconstitutional.

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  From D.C. Insider Duane Thompson, Some Optimism for Independent Advisors

  By Bob Clark, AdvisorOne  |  August 16, 2011

  A conversation with FPA's former chief lobbyist gives me some hope that independent advisors will stay independent of Wall Street and FINRA.

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  In Senate, Battle Over New Consumer Protection Agency Continues

  By Gil Weinreich, AdvisorOne  |  July 19, 2011

  Two days before the agency is set to open its doors, GOP says it will block confirmation of CFPB chief until it gets a more ‘accountable’ structure.