Iowa

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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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  President Romney’s Cabinet: Who Would He Choose?

  By Marlene Y. Satter, AdvisorOne  |  October 25, 2012

  If Gov. Romney wins the election, his Cabinet will take a very different direction on economic policy than Obama’s. Here are some of the choices to head those key posts.

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  SEC’s Aguilar Calls for Harsher Penalties Against Repeat Fraudsters

  By Melanie Waddell, AdvisorOne  |  October 19, 2012

  The SEC must re-evaluate the strength of its initial settlements and “specifically design” a program to combat repeat fraudsters, SEC Commissioner Luis Aguilar said.

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  Playing With Fire: CCOs and Lawyers Who Got Burned by Regulators

  By Melanie Waddell, AdvisorOne  |  October 12, 2012

  After analyzing disciplinary actions taken by the SEC and FINRA against CCOs and in-house counsel from June 2011 through June 2012, Sutherland found a slew of violations.

• A Securities Transaction Tax Will Hurt Advisors and Clients

  By Dale Brown, Financial Services Institute  |  October 4, 2012

  Yes, limiting market volatility and increasing government revenue are worthy goals, but legislation imposing a securities transaction tax is the wrong way to reach those goals.

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  11 Key Congressional Committees for Advisors to Worry About

  By Marlene Y. Satter, AdvisorOne  |  September 20, 2012

  As the election approaches, not just the White House and Congress are in play, but also control of congressional committees important to advisors and others in the financial services sector.

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  15 Best Small Cities for Successful Aging

  By Gil Weinreich and Ron Pechtimaldjian, AdvisorOne  |  August 28, 2012

  The Milken Institute study looked at 259 small U.S. metropolitan regions and ranked each based on 78 variables.

• Going Independent?

  By Nancy Miller  |  August 23, 2012

  Going independent? Already selected your new venue? Then you’ve already made some very big decisions about making a change and the kind of change you want.

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  Morgan Stanley Adds 9 Reps From Merrill, UBS, Wells & LPL

  By Janet Levaux, AdvisorOne  |  August 21, 2012

  These summer hires come on board with more than $1 billion in assets and $8 million in yearly production.

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  Big Shift at FPA: Tuttle Steps Down, COO Schadle Steps Up

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

  As CEO Marv Tuttle’s planned resignation is moved up, top deputy and FPA veteran Lauren Schadle will assume the top spot in October.