Investment Adviser Association in Washington

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  SEC Comings and Goings: Canellos, Ceresney Named Co-Heads of Enforcement

  By Melanie Waddell, AdvisorOne  |  April 22, 2013

  SEC Chairwoman Mary Jo White has named her former colleague Andrew Ceresney and acting enforcement director George Canellos co-directors of the enforcement division.

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  SEC, DOL Must Collaborate on ‘Overlapping’ IRA Fiduciary Standards: Attorney Mason

  By Melanie Waddell, AdvisorOne  |  April 15, 2013

  The failure of the SEC and DOL to collaborate on their “overlapping” fiduciary rules on IRA advice will render the SEC’s current cost-benefit analysis worthless, says Kent Mason of Davis & Harman.

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  White Sworn In as SEC Chief; Walter, Paredes Likely Leaving SEC Soon

  By Melanie Waddell, AdvisorOne  |  April 10, 2013

  Interim Chairwoman Elisse Walter will remain at the agency as a commissioner, but it doesn't look like she'll be there for long, David Tittsworth of IAA said.

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  Mary Jo White Commits to Reviewing Fiduciary Comments

  By Melanie Waddell, AdvisorOne  |  March 12, 2013

  Mary Jo White told the Senate Banking Committee on Tuesday that she would “commit” to reviewing the request for public comment on the agency’s fiduciary rule before releasing a proposal.

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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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  Obama Names SEC’s Walter as Schapiro’s Replacement

  By Melanie Waddell, AdvisorOne  |  November 26, 2012

  While Elisse Walter, an SEC commissioner, was selected by President Obama to succeed Schapiro, industry officials speculated that Walter will serve as an acting chairman until the president selects a permanent chairman at a later date.

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  SEC’s Schapiro to Step Down in December

  By Melanie Waddell, AdvisorOne  |  November 26, 2012

  After months of speculation that she would depart, Schapiro made it official Monday morning that she would depart the agency on Dec. 14; with a frontrunner emerging from Treasury Department.

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  Treasury’s Miller Surfaces as Possible Replacement for SEC’s Schapiro

  By Melanie Waddell, AdvisorOne  |  November 21, 2012

  Rumors are circulating that Treasury Department Under Secretary Mary John Miller, former T. Rowe Price executive, is the top candidate to replace Schapiro.

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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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  SEC Tightens Rule on Advisory Performance Fees

  By Melanie Waddell, AdvisorOne  |  February 16, 2012

  The SEC announced Thursday that it is tightening its rule on investment advisory performance fees to raise the net worth requirement for investors who pay performance fees by excluding the value of the investor’s home from the net worth calculation.