Donohue

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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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  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.

• OCIE Head Says Expect Harder Exams for Risky Practices

  By Melanie Waddell, AdvisorOne  |  March 26, 2010

  The new head of the SEC Office of Compliance Inspections and Examinations says investment advisors can expect "harder and deeper" exams if they are dealing in risky practices.

• Advisor Issues at Fore of SEC Agenda

  By Melanie Waddell, AdvisorOne  |  March 1, 2010

  Custody rule takes affect March 12; SEC working on final pay-to-play rule.

• SEC Cracks Down on 'Pay to Play'

  By Melanie Waddell, AdvisorOne  |  July 23, 2009

  Proposed rule would curtail advisors' use of such practices on retirement and 529 plans

• 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

• SEC Officials Speak Out on Compliance and a New SRO

  By Melanie Waddell, AdvisorOne  |  March 13, 2009

  Exam priorities, harmonization of B/D and advisor rules, and reinstating uptick rule in the spotlight

• 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...

• A Long, Hot Regulatory Summer

  By Melanie Waddell, AdvisorOne  |  June 1, 2008

  Get ready for a number of regulatory changes to hit home this summer. The SEC is set to release proposed rules soon regarding credit ratings...