Elisse Walter

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  SEC Exam Chief to AdvisorOne: SRO Option Still Viable

  By Melanie Waddell, AdvisorOne  |  January 31, 2012

  Carlo di Florio, director of the SEC's Office of Compliance Inspections and Examinations, told AdvisorOne on Tuesday that the recent boost in funding that the SEC received from Congress is not enough to thwart the need for an advisor SRO.

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  Fiduciary Duty Rule: A Status Report One Year Later

  By Melanie Waddell, AdvisorOne  |  January 20, 2012

  January 21 marks the one-year anniversary of the SEC handing over to Congress its report under Section 913 of Dodd-Frank recommending that brokers adhere to a fiduciary duty.

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  Kudos to Mary Schapiro for Her Non-Action in FINRA Document Case

  By Bob Clark, AdvisorOne  |  November 1, 2011

  Sometimes character is revealed by what people don’t do as much as by what they do.

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  MSRB, FINRA, SEC Work Together on Dodd-Frank Rules and Enforcement

  By Kathleen McBride, AdvisorOne  |  May 23, 2011

  ‘We’re dealing with other people’s money here,’ MSRB Chairman says.

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  SEC's Rominger: 12b-1, Money Market Fund Reform, ETF Oversight 'Extremely Important'

  By Melanie Waddell, AdvisorOne  |  April 28, 2011

  Eileen Rominger, director of the SEC's Division of Investment Management, said Thursday that the heavy workload under Dodd-Frank had not deterred the agency from moving forward on “extremely important” issues like 12b-1 reform and oversight of ETFs.

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  An Alternative to FINRA Oversight

  By Guest Contributor  |  April 1, 2011

  The SEC, like any organization, likes to protect its own turf.

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  FSI OneVoice 2011: CEO Brown, Chairman Dwyer Discuss Organization’s New Direction

  By John Sullivan, Advisorone  |  February 1, 2011

  FSI President and CEO Dale Brown and Chairman Bill Dwyer met with reporters Tuesday morning to discuss the organization's 2011 initiatives, which include retirement planning outreach and small business help for advisors.

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  SEC and the Fiduciary Study: The Process, Part I

  By Kathleen McBride, AdvisorOne  |  January 22, 2011

  Why the fiduciary standard became such a hot topic for regulators at the SEC.

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  Only One Reasonable Option Cited in SEC Study on SRO for Advisors

  By Dale E. Brown, CAE  |  January 20, 2011

  FSI’s Dale Brown responds to SEC recommendation on enhancing investment advisor exams

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  In SRO Report to Congress, SEC Offers Lawmakers Options for Advisor Oversight

  By Melanie Waddell, AdvisorOne  |  January 20, 2011

  The SEC released late Wednesday its report to Congress required under the Dodd-Frank Act regarding enhancing the examination and enforcement of investment advisors and whether the agency needs assistance from a SRO in examining them.