House Financial Services Committee

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  Ketchum’s Big SRO Omission

  By Melanie Waddell, AdvisorOne  |  February 25, 2013

  Richard Ketchum, CEO of FINRA, omitted a crucial detail in a recent interview he gave.

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  FINRA Up to Its Old Tricks With SRO Strategy Shift

  By Bob Clark, AdvisorOne  |  February 12, 2013

  FINRA's apparent strategic shift over an SRO for advisors to the Senate is the latest in a series of moves it's made over the decades to protect the brokerage model.

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  FINRA Shifts SRO Fight to Senate, as House Effort Falters

  By Melanie Waddell, AdvisorOne  |  February 7, 2013

  With the House unlikely to pursue an SRO bill this year, FINRA has set its sights on the Senate to push a bill that would give FINRA the authority to become the SRO for advisors.

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  Emboldened Borzi Is Back

  By Melanie Waddell, AdvisorOne  |  January 21, 2013

  Bolstered by another four years in her position under a re-elected Obama administration, Phyllis Borzi is adamant that EBSA’s fiduciary rule will see the light of day this year.

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  Four More Years? Fiduciary Proponents Need to Regroup

  By Knut A. Rostad  |  January 10, 2013

  To prevent four more years of fiduciary gridlock in Washington, proponents of the fiduciary standard for all need to regroup. Proposed: four steps to change the discussion.

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  Kitces on Top 3 Topics for Advisors in 2013—Topic 1: Fiduciary and SRO

  By Michael E. Kitces  |  January 8, 2013

  First up in an intense year for advisor regulation: movement from the DOL on its fiduciary rule.

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  Will the DOL Finally Show that Fiduciary Advice Is Better Business?

  By Bob Clark, AdvisorOne  |  December 27, 2012

  Cornerstone of new proposal is expected to be “substantial economic analysis.”

• The Jaws of Defeat

  By Bob Clark, AdvisorOne  |  December 21, 2012

  Taking time out over the holidays to reflect on the past year has become one of my favorite exercises.

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  Three Washington Heavyweights to Drive Advisor Agenda in ’13

  By Melanie Waddell, AdvisorOne  |  December 19, 2012

  Three key Washington heavyweights will have a crucial role in advisors’ lives next year: Elisse Walter, the new SEC chairman; Rep. Jeb Hensarling, the incoming House Financial Services chairman; and Phyllis Borzi, at the DOL’s EBSA.

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  House Republican Calls SEC Security Breach ‘Frightening’

  By Melanie Waddell, AdvisorOne  |  November 30, 2012

  Texas Republican Neugebauer calls episode involving unencrypted laptop use by SEC staffers a "frightening lapse of judgment."