Investment Adviser Association

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  Obama Names Mary Jo White New SEC Chief

  By Melanie Waddell, AdvisorOne  |  January 24, 2013

  President Obama on Thursday named Mary Jo White as the new chairwoman of the SEC, taking over from Elisse Walter.

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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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  SEC to Take Another Step Toward Fiduciary Rule

  By Melanie Waddell, AdvisorOne  |  January 16, 2013

  The SEC plans to issue a “concept release,” which will also likely include a request for information, in the first quarter regarding its rule to put brokers under a fiduciary mandate, Ken Bentsen of SIFMA said Wednesday.

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  Schwab’s Bettinger and Clark Address the Present and Future

  By James J. Green, AdvisorOne  |  December 21, 2012

  The last time Walt Bettinger sat down for an interview with Investment Advisor during a Schwab Impact conference, it was 2008 and the financial crisis was front and center.

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  Poll Results: As SEC’s Schapiro Steps Down, Advisors Speak Up

  By James J. Green, AdvisorOne  |  December 13, 2012

  Our AdvisorOne survey found some sentiment for Sallie Krawcheck, but gave regulators overall poor marks for protecting consumers and providing a level playing field.

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  After Obama Victory, How the New Government Is Shaping Up for Advisors: Updated

  By James J. Green, AdvisorOne  |  November 7, 2012

  Some notable newcomers—Elizabeth Warren, for one—join Congress, which remains divided between the two parties as fiscal cliff, tax issues come to fore of national agenda. FPA and FSI's leaders and lobbyists weigh in on what's next.

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  Number of RIAs Drops as AUM Spikes: IAA, NRS

  By Melanie Waddell, AdvisorOne  |  November 5, 2012

  The Dodd-Frank Act "has had a profound effect on the composition of the investment advisory profession," says David Tittsworth of IAA.

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  Principles vs. Rules: The Fiduciary Debate in a Nutshell

  By James J. Green, AdvisorOne  |  October 25, 2012

  At TD Ameritrade conference, CFA's Roper, IAA's Tittsworth and SIFMA's Carroll agree, disagree and look ahead at fiduciary standard, SRO for RIAs.

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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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  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.