Investment Advisers Association

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  Raymond James Introduces New Comp Model for Hybrid Reps

  By James J. Green, AdvisorOne  |  March 18, 2013

  Model seeks to help retain Raymond James Financial advisors exploring RIA option; available to reps with $100M or more in discretionary AUM.

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  What I Learned at Our Compliance Conference, Pt. 2: What SEC Examiners Are Pursuing

  By David Tittsworth, IAA  |  March 18, 2013

  What are the SEC's priorities in examining investment advisors? A look at OCIE's priorities, and at what may be the most underreported development in advisor exams.

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  SEC Names Bowden Deputy Director of Exam Division

  By Melanie Waddell, AdvisorOne  |  September 12, 2012

  The SEC announced Wednesday that Andrew J. Bowden has been named deputy director of the agency’s Office of Compliance Inspections and Examinations (OCIE).

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  SEC’s Aguilar to IAA: SRO Is Still ‘Not the Best Choice’

  By Janet Levaux, AdvisorOne  |  April 27, 2012

  The commissioner tells the IAA that he also believes in the strictest definition of fiduciary and sees his role as protecting the interests of "hardworking" investors.

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  On 5th Anniversary of FPA’s Win on ‘Merrill Rule,’ Fight Continues

  By James J. Green, AdvisorOne  |  March 30, 2012

  Lawsuit whose victory surprised and delighted many changed the conversation in Washington while industry still awaits shape of a final fiduciary rule.

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  SEC Names Legg Mason Exec the New Associate Director of Advisor Exams

  By Melanie Waddell, AdvisorOne  |  October 21, 2011

  The SEC announced on Friday that Andrew J. Bowden has been appointed an associate director to lead the National Investment Adviser/Investment Company Examination Program in the SEC’s Office of Compliance Inspections and Examinations.

• Impact of Financial Reform Bill on Advisors, Broker-Dealers and Banks

  By Janet Levaux, AdvisorOne  |  August 1, 2010

  While it isn't an updated version of Glass-Steagall, the latest financial-services reform legislation -- still in need of a few last Senate votes to pass...

• Reform's Impact on Advisors, Broker/Dealers, and Banks

  By Janet Levaux, AdvisorOne  |  August 1, 2010

  The 2010 reform legislation will impact RIAs, the large banks employing wirehouse advisors, and independent broker/dealers. "This is a tough law that will also have profound...

• Impact of Financial Reform Bill on Advisors, Broker/Dealers and Banks

  By Janet Levaux, AdvisorOne  |  July 15, 2010

  While it isn't an updated version of Glass-Steagall, the financial services reform legislation the Senate passed, 60-39, on July 15, is poised to have a variety of impacts on the large banks employing wirehouse advisors, as well as on broker/dealers.

• Reaction to Financial Services Reform Bill Is Swift

  By James J. Green, AdvisorOne  |  June 27, 2010

  FSI's Dale Brown, IAA's David Tittsworth weigh in on bill's implications