Frank Act

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  Plaze to Leave SEC as Cross Joins Agency

  By Melanie Waddell, AdvisorOne  |  August 2, 2012

  The SEC announced Thursday that Robert Plaze, deputy director of the Division of Investment Management, is retiring from public service at the end of August while the SEC has named John J. Cross III the director of the agency’s new Office of Municipal Securities.

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  Crowdfunding: What Could Go Wrong?

  By Bob Clark, AdvisorOne  |  July 5, 2012

  Is the JOBS Act’s embrace of crowdfunding a good idea? Is it what Congress meant to protect investors?

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  Giving to Get?

  By Melanie Waddell, AdvisorOne  |  April 24, 2012

  In a bid to push the deadlocked fiduciary rulemaking process forward, advisory and consumer trade groups that support broadening the fiduciary role for all advice givers made an unusual move in late March.

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  Dealings With Qualified Clients and Accredited Investors

  By Les Abromovitz  |  January 1, 2012

  Depending upon an RIAs business model and investment strategies, it may be important to identify “qualified clients” and “accredited investors.”  The Dodd-Frank Act authorized the SEC to change which clients are defined by those terms.

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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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  Moody’s Downgrades BofA, Wells Fargo & Citigroup

  By Marlene Y. Satter, AdvisorOne  |  September 22, 2011

  More advisors may feel the necessity to seek independence, as lack of potential government bailouts led to ratings cut.

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  MSRB Proposes Fiduciary Duty for Municipal Advisors

  By James J. Green, AdvisorOne  |  August 23, 2011

  Proposed rule G-36 flowing from Dodd Frank is designed, MSRB says, to 'put interests of state and local governments first.'

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  Barney Frank Says Dodd-Frank Is “Holding Up Well”

  By Melanie Waddell, AdvisorOne  |  July 12, 2011

  As anniversary nears, Congressman expresses frustration that GOP is using “deficit crisis to under fund the SEC and CFTC”

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  MSRB Warns Municipal Advisors to Register With Itself or SEC

  By Melanie Waddell, AdvisorOne  |  July 5, 2011

  A stern warning to firms engaging in municipal advisory activities without registering, a violation of the Exchange Act and rules of both agencies.

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  Senate Democrats: GOP Cuts to SEC Could Mean Another Madoff

  By John Sullivan, AdvisorOne  |  June 28, 2011

  Top Senate Democrats sent a letter to the leader of the House Appropriations Committee House appropriators on Tuesday criticizing Republican’s proposed cuts to the SEC, calling them “unacceptable and counterproductive.”