Investment Adviser Association

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  Bernie Clark: The 2013 IA 25 Extended Profile

  By James J. Green, AdvisorOne  |  May 20, 2013

  Clark has shown quiet but confident leadership not merely in growing Schwab’s custody unit, but in addressing many of advisors' most trying issues.

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  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.

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  White Pledges to Weigh Cost of Fiduciary Rule as Ketchum Revives SRO Fight

  By Melanie Waddell, AdvisorOne  |  April 1, 2013

  Just as incoming Securities and Exchange Commission (SEC) Chairwoman Mary Jo White has pledged to lawmakers that she would carefully weigh the costs of a fiduciary rulemaking, Richard Ketchum, CEO of the Financial Industry Regulatory Authority (FINRA), is renewing his call for a self-regulatory organization to oversee advisors.

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  The IAA Compliance Conference, Pt. 1: What to Expect From Your Friends in DC

  By David Tittsworth, IAA  |  March 14, 2013

  At the Investment Adviser Association’s annual compliance conference, a look at the significant legislative, regulatory and policy developments now being pursued and what’s coming next, especially from the SEC.

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  As Dually Registered Advisors’ Assets Grow, SEC Zeros In

  By Melanie Waddell, AdvisorOne  |  March 11, 2013

  Just as the SEC beefs up its oversight of dually registered advisors, new research from Cerulli Associates finds the dually registered channel is one of the fastest growing.

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  SEC to Launch Sweeps of Funds’ Distribution Fees, Alternative Mutual Funds

  By Melanie Waddell, AdvisorOne  |  March 8, 2013

  The SEC will begin next week an exam sweep of mutual funds' distribution fees, Andrew Bowden of the SEC's inspection office said Friday.

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  SRO Is Key to Boosting Advisor Exams: Former SEC Chief Pitt

  By Melanie Waddell, AdvisorOne  |  March 7, 2013

  The SEC “can’t handle” examining advisors, Harvey Pitt said at the Investment Adviser Association conference.

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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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  Continuity and Change: TD Ameritrade’s New Leadership

  By James J. Green, AdvisorOne  |  February 25, 2013

  Tom Nally had a tough act to follow at TDAI, but a year after assuming the presidency, his leadership both embraces continuity and places his own stamp on the organization.

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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.