John Nester

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  SEC Backs Off Issuing Private Offering Rule

  By Melanie Waddell, AdvisorOne  |  August 20, 2012

  After repeated complaints, SEC Chairwoman Mary Schapiro instead will put the rule out Wednesday for public comment.

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  Blistering Criticism of JOBS Bill May Push Senate Changes

  By Marlene Y. Satter, AdvisorOne  |  March 15, 2012

  A House bill intended to benefit business startups and stimulate job creation has been so sharply criticized on its way to the Senate that opponents may prevail in strengthening consumer protections they say were trashed.

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  JOBS Bill Under Fire by SEC, NASAA, Consumer Advocates

  By Marlene Y. Satter, AdvisorOne  |  March 13, 2012

  A bill that started out as seven separate pieces of legislation intended to benefit business startups and stimulate job creation is coming in for criticism as it heads to the Senate, as opponents say that it does away with consumer protection.

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  SEC’s Schapiro: ‘I Still Strongly Believe’ in Fiduciary Mandate for Brokers

  By Melanie Waddell, AdvisorOne  |  February 24, 2012

  Schapiro also said it’s time for the agency to “take the next step” in reforming money market funds. Money market funds, she said, “remain susceptible to runs; we need to move forward in addressing these structural risks.”

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  SEC’s IG Report Says Ex-Counsel Becker Benefited in Madoff Liquidation

  By Melanie Waddell, AdvisorOne  |  September 20, 2011

  An SEC Inspector General report released Tuesday alleged that the agency’s former general counsel, David Becker, benefited personally by participating in matters related to the liquidation proceedings dealing with the Bernie Madoff fraud.

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  SEC's Mary Schapiro Talks About Whistleblower Office, 12b-1: Exclusive Interview

  By Melanie Waddell, AdvisorOne  |  April 26, 2011

  Mary Schapiro recently talked with AdvisorOne about a broad range of issues, including how the agency’s new Whistleblower office is coming along, and an issue that remains near and dear to every advisor’s heart: revisions to mutual fund distribution fees under Rule 12b-1.

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  Congress Passes Government Funding Bill: SEC Left in the Cold

  By James J. Green, AdvisorOne  |  December 22, 2010

  The Senate and House approved Tuesday a continuing resolution that forestalls a U.S. government shutdown but that leaves the SEC, among other federal agencies, without some of the extra funds it needs to efficiently run their agencies.

• Wall Street's latest shake-up and the average investor: What happens next?

  By Staff Writer  |  September 15, 2008

  "I own Merrill and Lehman stock. Should I panic?" - the Washington Post reports Wall Street's latest shake-up involving the collapse of Lehman Brothers, the...

• Big Broom: SEC Sweep Letters Land at Hedge Funds

  By Staff Writer  |  May 2, 2006

  It turns out the Securities and Exchange Commission's big push to require hedge fund managers to register as investment advisers was more than just a show. Recently the commission has been proactive, seeking written information and documents from registered advisers in advance of scheduling inspection visits to those advisers' offices....