Commodity Futures Trading Commission

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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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  Barney Frank Introduces Bill to Merge SEC and CFTC

  By Melanie Waddell, AdvisorOne  |  November 29, 2012

  Frank, who introduced the legislation with Rep. Mike Capuano, D-Mass., said that "now that the basic policies have been adopted to cover security and derivatives regulation, we can focus on the structural issue” of merging the two agencies.

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  Do New Fannie-Freddie Bonds Signal Return of Asset-Backed Securities?

  By Gil Weinreich, AdvisorOne  |  October 12, 2012

  Fannie and Freddie are unable to issue higher-yielding bonds because of an unintended effect of Dodd-Frank; an exemption would create a ‘risk-sharing’ bond market that would benefit the mortgage giants.

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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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  MSRB Names Goldsholle General Counsel

  By Melanie Waddell, AdvisorOne  |  September 20, 2012

  Goldsholle, currently with FINRA, will oversee legal activities including market regulation, professional qualifications, enforcement support and corporate governance.

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  FINRA Regulatory Head Luparello Leaving to Join D.C. Law Firm

  By Melanie Waddell, AdvisorOne  |  September 4, 2012

  FINRA announced Tuesday that Vice Chairman Stephen Luparello, who has been at FINRA and the NASD for more than 16 years, is leaving to join the WilmerHale law firm in Washington.

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  Consumer Group Rails Against House Passage of Red Tape Reduction Act

  By Melanie Waddell, AdvisorOne  |  July 27, 2012

  The Consumer Federation of America is up in arms over a bill the House passed Friday that halts most new regulations for two years or until the unemployment rate falls below 6%.

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  Geithner: Europe Crisis Is Biggest Threat to U.S. Economy

  By Melanie Waddell, AdvisorOne  |  July 25, 2012

  Treasury Secretary Timothy Geithner discussed with lawmakers on Wednesday a number of issues, from the success of financial reform to the European crisis to the SEC's attempt to overhaul money-market funds.

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  Top 7 Reasons Dodd-Frank Is Working: Treasury

  By Melanie Waddell, AdvisorOne  |  July 19, 2012

  A Treasury official laid out on Thursday the reasons why the Obama administration believes the Dodd-Frank Act is providing a “sound foundation” to get the economy back on track.

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  PFGBest Collapse Leads to CFTC, FBI Inquiries

  By Marlene Y. Satter, AdvisorOne  |  July 11, 2012

  The CFTC and FBI have taken action against a Cedar Falls, Iowa-based broker after the discovery that $220 million was missing out of $225 million in customer funds. PFGBest founder Russell Wasendorf attempts suicide outside the firm’s offices.