Karen Barr

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  SEC Tightens Rule on Advisory Performance Fees

  By Melanie Waddell, AdvisorOne  |  February 16, 2012

  The SEC announced Thursday that it is tightening its rule on investment advisory performance fees to raise the net worth requirement for investors who pay performance fees by excluding the value of the investor’s home from the net worth calculation.

• Retirement Planning: Discord With DOL

  By Melanie Waddell, AdvisorOne  |  July 1, 2010

  As the Department of Labor's Employee Benefits Security Administration (EBSA) prepares to move forward soon in finalizing its regulation on investment advice for 401(k)s and...

• Making Compliance Headway

  By Melanie Waddell, AdvisorOne  |  October 1, 2007

  Four years since the passage of the SEC's "compliance program rule"--requiring registered investment advisors to adopt and implement compliance policies and procedures, appoint a chief...

• Building Rules

  By Susan B. Weiner  |  May 1, 2006

  Spring is here and with it, increased SEC regulation. All RIAs want to put their clients' interests first. If only compliance didn't cost advisors so...

• Milking Advisors

  By Melanie Waddell, AdvisorOne  |  May 1, 2003

  Faced with budget deficits, many states are levyin

• New Rules for New York

  By Melanie Waddell, AdvisorOne  |  November 8, 2002

  Beginning in January, more New York advisors will