David Tittsworth

• Unleash the Hounds

  By John Sullivan, Investment Advisor  |  July 24, 2012

  By hounds, we mean lawyers; not that we’re necessarily comparing lawyers to dogs, but the former do have something of a Pavlovian response to new regulation and the potential “opportunity” it affords … we’ll leave it at that.

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  Fate of Dodd-Frank Likely Rests in Election Results

  By Melanie Waddell, AdvisorOne  |  July 18, 2012

  With the two-year anniversary of the passage of the Dodd-Frank Act on July 21, industry officials are weighing in on the law’s progress.

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  SEC Funding Boost ‘Not Going to Happen’: SRO Bill Co-Sponsor

  By Melanie Waddell, AdvisorOne  |  June 26, 2012

  Industry trade groups and consumer advocates opposed to House Financial Services Committee Chairman Spencer Bachus’ bill calling for a self-regulatory organization (SRO) to oversee advisors had their hopes quashed that the Securities and Exchange Commission (SEC) would receive a boost in funding in order to thwart an SRO.

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  SEC Funding Boost ‘Not Going to Happen’: SRO Bill Co-Sponsor

  By Melanie Waddell, AdvisorOne  |  June 6, 2012

  Opponents of Rep. Spencer Bachus’ bill calling for a SRO to oversee advisors had their hopes that the SEC would receive a boost in funding in order to thwart an SRO quashed on Wednesday.

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  Combatants Gear Up for SRO Hearing

  By Melanie Waddell, AdvisorOne  |  June 1, 2012

  Their collective rallying cry: an SRO isn’t needed—particularly if that SRO is FINRA. What to do instead? Fund the SEC so that it can conduct more frequent advisor exams.

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  Bachus Reintroduces SRO Bill

  By Melanie Waddell, AdvisorOne  |  May 22, 2012

  House Financial Services Chairman Spencer Bachus reintroduced in late April his draft bill calling for a self-regulatory organization (SRO) for advisors.

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  SEC’s Aguilar to IAA: SRO Is Still ‘Not the Best Choice’

  By Janet Levaux, AdvisorOne  |  April 27, 2012

  The commissioner tells the IAA that he also believes in the strictest definition of fiduciary and sees his role as protecting the interests of "hardworking" investors.

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  Bachus, McCarthy Introduce SRO Redraft

  By Melanie Waddell, AdvisorOne  |  April 25, 2012

  House Financial Services Chairman Spencer Bachus reintroduced on Wednesday his draft bill calling for an SRO for advisors—one week after industry sources told AdvisorOne that an SRO bill was imminent.

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  To Break Fiduciary Deadlock, Groups Lay Out Path for SEC

  By Melanie Waddell, AdvisorOne  |  March 30, 2012

  Seven leading consumer and industry groups supporting a uniform fiduciary duty provided the SEC on Thursday with a “roadmap” for resolving the debate about how to create that rule.

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  Fiduciary Duty Rule: A Status Report One Year Later

  By Melanie Waddell, AdvisorOne  |  January 20, 2012

  January 21 marks the one-year anniversary of the SEC handing over to Congress its report under Section 913 of Dodd-Frank recommending that brokers adhere to a fiduciary duty.