John Walsh

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  Former SEC Compliance Chief, State Securities Regulator Hit Compliance Hot Buttons

  By Marlene Y. Satter, AdvisorOne  |  January 27, 2012

  At the FSI OneVoice 2012 conference in Orlando, a panel including John Cronin, securities director for the state of Vermont, and former SEC official John Walsh, focus on the recently announced joint SEC-FINRA effort to examine BD branches.

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  Former SEC Exam Chief Walsh: SEC Whistleblower Program 'Showing Traction'

  By Melanie Waddell, AdvisorOne  |  January 2, 2012

  The former chief counsel at the SEC's exam division, John Walsh, has formed a Whistleblower Response Team with several of his colleagues to help firms develop whistleblower response programs as the SEC’s 'initiative is beginning to show traction.'

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  Advisor SRO Would Cost Twice as Much as Funding SEC Exams

  By Melanie Waddell, AdvisorOne  |  December 15, 2011

  The report, conducted by BCG and funded by advisor groups and TD Ameritrade, was released before a House panel vote on a spending bill that included a $136 million increase for SEC funding.

• Internal Changes at SEC’s Exam Division

  By Melanie Waddell, AdvisorOne  |  November 28, 2011

  As uncertainty remains in the debate over whether an SRO should oversee advisors—and a new option of using outside auditors for advisor exams in lieu of an SRO was recently thrown into the mix—changes are afoot within the SEC’s exam division.

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  SEC's Top Compliance Officer Leaving for Private Sector

  By Melanie Waddell, AdvisorOne  |  September 16, 2011

  John Walsh, associate director and chief counsel in the SEC's Office of Compliance Inspections and Examinations (OCIE), plans to retire from the agency at the end of September.

• Moody's Revised MMF Rating Proposal Still Faces Scrutiny

  By Melanie Waddell, AdvisorOne  |  March 31, 2011

  Market participants are objecting to a proposal by Moody’s Investor Service to rate money market funds by partially relying on a fund sponsor’s ability and willingness to support a “distressed fund”—that is, a fund that’s about to “break the buck” or is in financial distress.

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  SEC's Walsh at IAA: Advisor Exams to Increase Post Dodd-Frank in Short-Term

  By Melanie Waddell, AdvisorOne  |  March 10, 2011

  John Walsh, associate director of OCIE, warned compliance officers on Thursday “not to back off” on their compliance due diligence, as SEC exams of advisory firms post-Dodd-Frank will increase in the short-term.

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  Senate Republicans Urge Slowdown of Dodd-Frank Rules

  By Melanie Waddell, AdvisorOne  |  February 17, 2011

  Republican senators want to extend the comment periods on rule proposals and conduct more “rigorous” analysis on those rules—including one on putting brokers under a fiduciary standard of care.

• SEC ‘Switch’ Details Out by December

  By Melanie Waddell, AdvisorOne  |  October 25, 2010

  John Walsh, associate director of the SEC's Office of Compliance Inspections and Examinations (OCIE), told attendees at the North American Securities Administrators Association's (NASAA) annual...

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  At NASAA Conference: SEC to Release Dodd-Frank ‘Switch’ Details by December

  By Melanie Waddell, AdvisorOne  |  September 27, 2010

  State securities regulators had a few pressing issues on their minds associated with the implementation of the Dodd-Frank Act as they convened their annual conference in Baltimore on Monday.