Department of Labor

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  Bond Investors Must Prepare for Rate Spike: SEC’s Walter

  By Melanie Waddell, AdvisorOne  |  May 20, 2013

  At the FINRA conference, SEC Commissioner Elisse Walter also said it was time to get to the "nitty-gritty" of a fiduciary rule.

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  The 2013 IA 25: Advisor Advocates and Regulators

  By Editorial Staff  |  May 20, 2013

  Since the financial crisis, advisors have had to defend their businesses from wary consumers, overzealous legislators and sometimes even other advisors whose unscrupulous actions would cast good advisors in the same shadow as bad advisors.

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  House Bill to Require SEC, DOL Fiduciary Collaboration

  By Melanie Waddell, AdvisorOne  |  May 16, 2013

  But SEC’s Mary Jo White maintains SEC and DOL are "two different agencies"; says more exam "coverage" is needed for advisors.

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  Dale Brown: The 2013 IA 25 Extended Profile

  By Melanie Waddell, AdvisorOne  |  May 16, 2013

  When reminded that this is the seventh year that he’s been named to the IA 25, Dale Brown was quick to give kudos to his entire team, noting that the Financial Services Institute’s success doesn’t hinge on his abilities alone.

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  Phyllis Borzi: The 2013 IA 25 Extended Profile

  By Melanie Waddell, AdvisorOne  |  May 15, 2013

  Despite taking a drubbing over her insistence on issuing a rule to amend the definition of fiduciary under ERISA, Phyllis Borzi remains steadfast in her conviction to do so.

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  DOL Seeks Input on Lifetime Income Illustrations Plan

  By Melanie Waddell, AdvisorOne  |  May 7, 2013

  “We are looking for the best ideas on how to show people what their lump-sum retirement savings look like when they are spread out over all the years of retirement,” said Phyllis Borzi.

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  Trend Spotter Rosenberg Sees Inflation Around the Corner

  By Gil Weinreich, AdvisorOne  |  May 3, 2013

  The widely followed economist David Rosenberg, known for his early warning of the housing market bubble, now foresees a persistent inflationary trend in the making.

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  Crossing Paths: The 2013 IA 25

  By Editorial Staff  |  April 29, 2013

  With Investment Advisor's 13th annual list of the most influential individuals in and around the advisor business, we decided to do something different.

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  Without Fiduciary Rule Collaboration, Cost-Benefit Analysis ‘Worthless’

  By Melanie Waddell  |  April 29, 2013

  Comments have been flooding into the Securities and Exchange Commission regarding the agency’s March 1 request for input on the costs and benefits of putting brokers under a fiduciary mandate.

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  FPA Makes Two Big Pushes in Washington

  By Melanie Waddell, AdvisorOne  |  April 26, 2013

  The FPA is “well under way” in putting its advocacy infrastructure in place, FPA President Michael Branham told AdvisorOne in an interview Thursday.