Joe Borg

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  Harmonizing Advisor, BD Rules Back Burner Issue for SEC: fi360's Thompson Says

  By Melanie Waddell, AdvisorOne  |  October 13, 2011

  Harmonization of advisor and broker rules is an issue that’s “lower on the totem pole” for the SEC now, Duane Thompson, senior policy analyst with fi360, said on Thursday. However, there are clearly areas where harmonization needs to occur.

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  Why Advisors Still Aren’t Professionals

  By James J. Green, AdvisorOne  |  October 13, 2010

  You are important enough to be regulated, and the interconnectedness of the world financial system requires that you be regulated to protect consumers and that system.

• At FPA Denver, Attempting to Corral Implementation of Dodd-Frank

  By James J. Green, AdvisorOne  |  October 10, 2010

  Both sides of the regulatory equation were on display during a Sunday morning session at FPA Denver 2010.

• Sticking Up for Senior Investors

  By Melanie Waddell, AdvisorOne  |  November 1, 2008

  As the market turmoil rages on, one group of clients--seniors--don't have the luxury of being able to take some hits to their portfolios now with...