Investment Adviser Association

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  Vanguard’s Bogle to SEC’s Schapiro: Include Institutional Advisors in Fiduciary Rule

  By Melanie Waddell, AdvisorOne  |  September 11, 2012

  In the debate over how to shape a fiduciary mandate for brokers, Vanguard founder John Bogle says that the SEC should include in its rule advisors to registered investment companies, which have been “ignored.”

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  SEC’s Schapiro to AdvisorOne: Fiduciary Issue Still ‘Important’

  By Melanie Waddell, AdvisorOne  |  September 10, 2012

  Before meeting with industry heavyweights on Tuesday regarding the fiduciary rule, Schapiro told AdvisorOne that the SEC is still working to advance a fiduciary rulemaking.

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  Fiduciary Rule Could Be Years Away: Industry Experts

  By Melanie Waddell, AdvisorOne  |  August 22, 2012

  Knut Rostad, president of the Institute for the Fiduciary Standard, told AdvisorOne on Wednesday that regulators will most likely "continue to punt" the fiduciary issue.

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  Dodd-Frank: Here to Stay

  By Melanie Waddell, AdvisorOne  |  August 21, 2012

  If Republicans “run the table in this year’s elections, it is certainly possible that some of the more controversial provisions of the Dodd-Frank Act may be revisited,” said David Tittsworth, executive director of the Investment Adviser Association (IAA) in Washington.

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  To Thwart SRO, Rep. Waters Introduces User Fee Bill

  By Melanie Waddell, AdvisorOne  |  July 25, 2012

  Maxine Waters, D-Calif., introduced on Wednesday a bill that would allow the SEC to collect user fees from advisors to fund their exams in lieu of an SRO.

• Unleash the Hounds

  By John Sullivan, Investment Advisor  |  July 24, 2012

  By hounds, we mean lawyers; not that we’re necessarily comparing lawyers to dogs, but the former do have something of a Pavlovian response to new regulation and the potential “opportunity” it affords … we’ll leave it at that.

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  Fate of Dodd-Frank Likely Rests in Election Results

  By Melanie Waddell, AdvisorOne  |  July 18, 2012

  With the two-year anniversary of the passage of the Dodd-Frank Act on July 21, industry officials are weighing in on the law’s progress.

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  Social Media Is Hottest Compliance Topic for RIAs: Survey

  By Melanie Waddell, AdvisorOne  |  July 17, 2012

  Social media use among RIAs has shot up over the past year, with 80% of RIAs stating they have adopted formal written policies on social networking, according to the Investment Management Compliance Testing Survey.

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  SEC Names Drake as Chief Compliance and Ethics Officer for OCIE

  By Melanie Waddell, AdvisorOne  |  July 9, 2012

  OCIE director Carlo diFlorio says Paula Drake will help OCIE “with the continued advancement of the national examination program, including leading the critical legal function, developing our national examination policy manual, and overseeing our internal compliance team.”

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  It’s Not Too Late to Make Your Voice Heard on SRO Bill

  By David Tittsworth, IAA  |  July 6, 2012

  If you’re not in favor of having FINRA become the SRO for RIAs, join the advisor grass-roots effort to advocate with Congress against Bachus bill.