Gary Gensler

• 

  Top Regulators to Testify on Dodd-Frank Progress

  By Melanie Waddell, AdvisorOne  |  February 11, 2013

  The nation’s top financial regulators will testify before the Senate Banking Committee on Thursday regarding the progress of the Dodd-Frank Act.

• 

  Top 10 Wealth Management Trends for 2013

  By Joyce Hanson, AdvisorOne  |  January 25, 2013

  Every year brings its own challenges, but 2013 is likely to be an exceptionally dynamic year for wealth managers, the Aite Group predicts.

• 

  Top 13 Regulatory Predictions for 2013

  By Melanie Waddell, AdvisorOne  |  January 8, 2013

  Former SEC Commissioner Annette Nazareth, who’s now with Davis Polk & Wardwell, and her colleague Gabriel D. Rosenberg released in early January their list of 13 key regulatory predictions for this year.

• 

  Poll Results: As SEC’s Schapiro Steps Down, Advisors Speak Up

  By James J. Green, AdvisorOne  |  December 13, 2012

  Our AdvisorOne survey found some sentiment for Sallie Krawcheck, but gave regulators overall poor marks for protecting consumers and providing a level playing field.

• 

  The Morning After…

  By David Tittsworth, IAA  |  November 7, 2012

  Now that the election is over, how can we move the ball forward—for your businesses and your clients—during the coming months and weeks?

• 

  After Obama Victory, How the New Government Is Shaping Up for Advisors: Updated

  By James J. Green, AdvisorOne  |  November 7, 2012

  Some notable newcomers—Elizabeth Warren, for one—join Congress, which remains divided between the two parties as fiscal cliff, tax issues come to fore of national agenda. FPA and FSI's leaders and lobbyists weigh in on what's next.

• 

  PFGBest Collapse Leads to CFTC, FBI Inquiries

  By Marlene Y. Satter, AdvisorOne  |  July 11, 2012

  The CFTC and FBI have taken action against a Cedar Falls, Iowa-based broker after the discovery that $220 million was missing out of $225 million in customer funds. PFGBest founder Russell Wasendorf attempts suicide outside the firm’s offices.

• 

  Probe of Libor Scandal Set by British Parliament

  By Marlene Y. Satter, AdvisorOne  |  July 6, 2012

  An investigation into the rigging of Libor has been set by the British Parliament as the City of London worries that its reputation as the world’s top financial center has been damaged beyond repair.

• The Client. The Client. The Client.

  By James J. Green, AdvisorOne  |  March 1, 2012

  The last words of General of the Army Douglas MacArthur’s farewell speech at West Point went like this: “…when I cross the river, my last conscious thoughts will be of the Corps, the Corps, the Corps.”

• 

  Lawmakers Probe Regulators Over Volcker Rule Proposal

  By Melanie Waddell, AdvisorOne  |  January 18, 2012

  Lawmakers took regulators to task on Wednesday over their proposal to implement Section 619 of the Dodd-Frank Act, commonly referred to as the Volcker rule, citing the proposed rule’s complexity as well as its costs.