Kristina Fausti

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  While Bachus Pushes Advisor SRO Bill, Sen. Johnson Isn't Quite Ready

  By Melanie Waddell, AdvisorOne  |  September 21, 2011

  Bachus has warmed up to more SEC funding because he sees that it would help the SEC with its oversight of any advisor SRO.

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  Bachus’ SRO Bill: An Opening to Keep Independent Advice Alive?

  By Bob Clark, AdvisorOne  |  September 13, 2011

  Fi360’s Kristina Fausti delivers the good news-bad news message on Spencer Bachus’ draft SRO bill. Will Republicans protect small businesses, like advisory firms?

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  A Tale of Two Regulators: What DOL Can Teach the SEC

  By Bob Clark, AdvisorOne  |  August 2, 2011

  The DOL’s consumer orientation provides a stark contrast to the SEC’s industry concerns.

• Fiduciary D-Day Arrives

  By Melanie Waddell, AdvisorOne  |  July 1, 2011

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  SEC's Rominger Will Play Big Role in Fiduciary Outcome; GOP Wants More Info From CFPB

  By Melanie Waddell, AdvisorOne  |  January 20, 2011

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  Inside Information on SEC’s Likely Fiduciary Move

  By Bob Clark, AdvisorOne  |  January 18, 2011

  Kristina Fausti of fi360 on whether the political will to re-regulate the industry has dried up.

• Industry Lobbying of SEC on Fiduciary Standard to Continue

  By Melanie Waddell, AdvisorOne  |  August 31, 2010

  Unclear whether SEC will seek input on study of FINRA as SRO for advisors.

• As SEC Fiduciary Comment Deadline Arrives, Groups Polish Responses

  By Melanie Waddell, AdvisorOne  |  August 30, 2010

  Monday, August 30, marks the last day the Securities and Exchange Commission (SEC) officially accepts comment letters regarding the study the securities regulator is to conduct on putting brokers under a fiduciary standard of care.

• Senate Reform Bill Compromise on Fiduciary Is Still Being Debated

  By Melanie Waddell, AdvisorOne  |  June 24, 2010

  Senator Tim Johnson (D-South Dakota) offered House conferees a compromise Tuesday night, June 22, regarding putting brokers under a fiduciary standard of care.

• Gaps, the SEC, and CPAs

  By Melanie Waddell, AdvisorOne  |  April 1, 2010

  Kristina Fausti of Fi360 says that Senator Herb Kohl's amendment calling for a new board to oversee all advice givers, "would create gaps by pulling...