Duane Thompson

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  Separate but Equal?

  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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  SRO Bill May Arrive This Fall

  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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  Congress Urged to Preserve States' Authority in Any SRO for Advisors

  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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  From D.C. Insider Duane Thompson, Some Optimism for Independent Advisors

  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.

• Former FPA Lobbyist Thompson Joins Fiduciary360

  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."

• At FPA Annual Gathering, Celebration and Resolve

  By James J. Green, AdvisorOne  |  November 1, 2009

  At its annual gathering, the Financial Planning Association celebrated the 40th anniversary of the founding of the profession, complete with a new history of the...

• FPA's Barry Is Optimistic

  By James J. Green, AdvisorOne  |  November 1, 2009

  "If we ask for a meeting, we get a meeting," says Dan Barry, the Financial Planning Association's director of government relations, in discussing the largest...

• FPA Advocacy Efforts Bearing Fruit in Congress

  By James J. Green, AdvisorOne  |  October 12, 2009

  Group's government relations director optimistic about getting its voice heard

• Changes

  By Staff Writer  |  October 1, 2009

  ? Benjamin Ledyard, a veteran wealth advisor and former managing director of the Wilmington Trust Company, has joined Silver Bridge Advisors. Ledyard will serve as...

• Seismic Shift

  By Melanie Waddell, AdvisorOne  |  May 1, 2008

  Treasury Secretary Henry Paulson's Blueprint for a massive overhaul of the financial services regulatory structure, which he unveiled March 31, is already sparking much debate...