Duane Thompson

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  Industry Groups Fear Wagner Bill Will Stop SEC, DOL Fiduciary Rules in Their Tracks

  By Melanie Waddell, AdvisorOne  |  June 19, 2013

  The bill, which passed the House Financial Services Committee on Wednesday, was unlikely to be made into law but could have serious implications anyway, the groups said.

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  Bill Would Force DOL to Let SEC Fire First on Fiduciary

  By Melanie Waddell, AdvisorOne  |  June 17, 2013

  The House Financial Services Committee plans to mark up a bill introduced Wednesday that would require the DOL to wait 60 days to publish its fiduciary rule after the SEC has released its own measure.

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  House Measure to Slow Fiduciary Rulemaking Poses Little Threat: Industry Officials

  By Melanie Waddell, AdvisorOne  |  May 23, 2013

  A discussion draft introduced Thursday designed to stymie efforts by the SEC and DOL to craft fiduciary rules will prove to be of little consequence, fi360's Duane Thompson and other experts said.

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  The Disclosure Paradox: How Much Information Is Too Much?

  By Michael Finke  |  April 1, 2013

  Too much information can be as harmful to retirement plan decisions as too little.

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  Obama vs. Romney on Regulation: DOL Fiduciary DOA? Yes or No to SRO? Borzi Gets Boot?

  By Melanie Waddell, AdvisorOne  |  October 18, 2012

  While the regulatory and legislative landscapes remain sketchy until after the election, industry officials say there are some sure bets advisors can count on.

• ‘Harmonizing’ DOL, SEC Fiduciary Rules Is Too Tough: fi360

  By Melanie Waddell, AdvisorOne  |  September 25, 2012

  Fi360 told members of Congress recently that asking the DOL and the SEC to “harmonize” their fiduciary rules would create “significant challenges.”

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  Harmonizing DOL, SEC Fiduciary Rules Forces a Stark Choice, fi360 Warns Lawmakers

  By Melanie Waddell, AdvisorOne  |  August 27, 2012

  Harmonizing the two rules, fi360 says, would require the SEC to toughen its rules or the DOL to relax them, violating ERISA requirements and weakening protections for retirement plan participants.

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  SRO Bill May See July Vote; SEC Gets Glint of Hope for Extra Funds

  By Melanie Waddell, AdvisorOne  |  June 14, 2012

  Despite the fact that a late June markup of Rep. Spencer Bachus’ SRO bill was delayed, he still “intends to move the bill forward through committee,” says Dan Barry of FPA.

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  On 5th Anniversary of FPA’s Win on ‘Merrill Rule,’ Fight Continues

  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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  Outlook 2012: Washington — Final Outcomes on Fiduciary, SRO?

  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.