Duane Thompson

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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.

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  SEC to Get $136M Increase Under New Spending Bill for 2012

  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.

• Unfinished Business: Advisors Debate Fiduciary Standard, SRO

  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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  Harmonizing Advisor, BD Rules Back Burner Issue for SEC: fi360's Thompson Says

  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.