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By James J. Green, AdvisorOne |
March 30, 2012
Lawsuit whose victory surprised and delighted many changed the conversation in Washington while industry still awaits shape of a final fiduciary rule.
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By Melanie Waddell, AdvisorOne |
December 20, 2011
The regulatory/legislative front will heat up in the New Year for advisors, with four issues taking center stage—the SEC and DOL's fiduciary rules, an SRO for advisors and the 'switching' of advisors.
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By Melanie Waddell, AdvisorOne |
December 16, 2011
Bipartisan deal to avert government shutdown includes $1.3 billion in funding for the SEC in 2012, but $25 million cut from Dodd-Frank reserve fund; extension of payroll tax cut still up in the air.
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By Melanie Waddell, AdvisorOne |
November 1, 2011
As we near the end of 2011, two of the top issues for the advisory industry remain unresolved: a fiduciary mandate for brokers and a SRO for advisors.
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By Melanie Waddell, AdvisorOne |
October 13, 2011
Harmonization of advisor and broker rules is an issue that’s “lower on the totem pole” for the SEC now, Duane Thompson, senior policy analyst with fi360, said on Thursday. However, there are clearly areas where harmonization needs to occur.
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By Bob Clark, AdvisorOne |
October 1, 2011
To hear Duane Thompson tell it, now that the Republicans have control of the House of Representatives, a bill authorizing a self-regulatory organization for investment advisors any time soon is unlikely.
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By Melanie Waddell, AdvisorOne |
October 1, 2011
Lawmakers and industry officials debated the merits in mid-September of whether there should be a self-regulatory organization (SRO) for advisors, and at least one industry official says to expect SRO legislation from the House this fall.
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By Melanie Waddell, AdvisorOne |
September 14, 2011
Just as the Pennsylvania Securities Commissioner was warning members of a House subcommittee on Tuesday to not trump states’ authority in potentially requiring an SRO for advisors, the newly christened NASAA president was beating the same drum miles away.
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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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By Melanie Waddell, AdvisorOne |
November 16, 2010
Thompson "has demonstrated over the years an ability to successfully advocate on complicated fiduciary and regulatory issues impacting advisors and investors."
