House Financial Services Committee

• 

  House Passes SEC Cost-Benefit Bill

  By Melanie Waddell, AdvisorOne  |  May 17, 2013

  Planning groups are at odds over a bill that passed the House on Friday requiring the SEC to conduct more rigorous cost-benefit analyses before making rules.

• 

  Schwab Backs Off on Class-Action Ban—for Now

  By Melanie Waddell, AdvisorOne  |  May 17, 2013

  Charles Schwab on Thursday said it would lift a ban on client class-action suits until all legal and regulatory challenges were resolved.

• 

  FSI Backs Bill Requiring SEC Cost-Benefit Analysis

  By James J. Green, AdvisorOne  |  May 16, 2013

  H.R. 1062 would require SEC to conduct cost-benefit analyses before instituting rules. The White House opposes the measure.

• 

  House Bill to Require SEC, DOL Fiduciary Collaboration

  By Melanie Waddell, AdvisorOne  |  May 16, 2013

  But SEC’s Mary Jo White maintains SEC and DOL are "two different agencies"; says more exam "coverage" is needed for advisors.

• 

  Richard Ketchum: The 2013 IA 25 Extended Profile

  By Melanie Waddell, AdvisorOne  |  May 14, 2013

  FINRA CEO Ketchum says that the regulator continues to believe current levels of advisor oversight and exams are "unacceptable and a risk to investors."

• 

  FPA’s Man in Washington Speaks of Planner Group’s Priorities

  By James J. Green, AdvisorOne  |  May 9, 2013

  At FPA Retreat 2013, Daniel Penchina voices optimism on SEC user fee legislation; vows more help for state FPA associations.

• 

  Crossing Paths: The 2013 IA 25

  By Editorial Staff  |  April 29, 2013

  With Investment Advisor's 13th annual list of the most influential individuals in and around the advisor business, we decided to do something different.

• 

  FPA Makes Two Big Pushes in Washington

  By Melanie Waddell, AdvisorOne  |  April 26, 2013

  The FPA is “well under way” in putting its advocacy infrastructure in place, FPA President Michael Branham told AdvisorOne in an interview Thursday.

• 

  Too-Big-to-Fail Bill DOA: Commentators

  By Melanie Waddell, AdvisorOne  |  April 24, 2013

  Washington Analysis says the “headlines, hearings and speeches” around the measure will amount to “mere noise,” while SIFMA says the bill would dampen business lending.

• 

  Rep. Waters Reintroduces SEC User Fees Bill

  By Melanie Waddell, AdvisorOne  |  April 19, 2013

  Rep. Maxine Waters, D-Calif., on Friday made another go at allowing the SEC to collect user fees to fund advisor exams.