House Financial Services Committee

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  Barney Frank Introduces Bill to Merge SEC and CFTC

  By Melanie Waddell, AdvisorOne  |  November 29, 2012

  Frank, who introduced the legislation with Rep. Mike Capuano, D-Mass., said that "now that the basic policies have been adopted to cover security and derivatives regulation, we can focus on the structural issue” of merging the two agencies.

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  Hensarling Elected House Financial Services Chairman

  By Melanie Waddell, AdvisorOne  |  November 29, 2012

  As expected, Rep. Jeb Hensarling, R-Texas, was elected Chairman of the House Financial Services Committee and will take over the reins in January from Rep. Spencer Bachus, R-Ala.

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  To Thwart SRO Bill, Coalition Is Pressing for Senate User Fees Bill

  By Melanie Waddell, AdvisorOne  |  November 9, 2012

  Nystrom of NAPFA: the Financial Planning Coalition is 'seeing where our strengths are' in the Senate to ensure a user fees bill gets introduced in 2013.

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  In Election’s Wake: What Now for Advisors?

  By John Sullivan, AdvisorOne  |  November 8, 2012

  TDAI offers some insight to changes at SEC, key congressional committees and 401(k)s.

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  Obama vs. Romney on Regulation: DOL Fiduciary DOA? Yes or No to SRO? Borzi Gets Boot?

  By Melanie Waddell, AdvisorOne  |  October 18, 2012

  While the regulatory and legislative landscapes remain sketchy until after the election, industry officials say there are some sure bets advisors can count on.

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  SEC’s Gallagher Challenges Idea of FINRA as Advisor SRO

  By Melanie Waddell, AdvisorOne  |  October 8, 2012

  “Should FINRA be seeking to branch out into entirely new fields of responsibility, such as regulating investment advisors?” a commissioner asks.

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  Breach of Fiduciary Duty No. 1 Complaint in FINRA Arbitration Cases

  By Melanie Waddell, AdvisorOne  |  September 25, 2012

  Experts including former SEC Chairman Harvey Pitt and Ron Rhoades debated whether brokers should be held to the same fiduciary standard as advisors.

• ‘Harmonizing’ DOL, SEC Fiduciary Rules Is Too Tough: fi360

  By Melanie Waddell, AdvisorOne  |  September 25, 2012

  Fi360 told members of Congress recently that asking the DOL and the SEC to “harmonize” their fiduciary rules would create “significant challenges.”

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  How the Election Will Shape Regulatory Policies for Advisors

  By David Tittsworth, IAA  |  September 20, 2012

  The president appoints the people who will make the most important decisions on regulatory policy that affect your profession. First up on our list of potential changes: Treasury.

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  Harmonizing DOL, SEC Fiduciary Rules Forces a Stark Choice, fi360 Warns Lawmakers

  By Melanie Waddell, AdvisorOne  |  August 27, 2012

  Harmonizing the two rules, fi360 says, would require the SEC to toughen its rules or the DOL to relax them, violating ERISA requirements and weakening protections for retirement plan participants.