law

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  SEC Floats Two-Pronged Money Fund Reform Plan

  By Melanie Waddell, AdvisorOne  |  June 5, 2013

  SEC Chairwoman Mary Jo White said Wednesday that the two reforms could be adopted separately or combined into a single reform package.

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  New Hire Roundup: Senate Finance Names Getz Tax Counsel

  By Marlene Y. Satter, AdvisorOne  |  June 5, 2013

  This week in new hires, Kara Getz joined the Senate Finance Committee as tax counsel, and ICI named Michelle Mesack director of financial services policy.

• SEC’s White Names Former Federal Prosecutor Rice as Chief Counsel

  By Melanie Waddell, AdvisorOne  |  June 3, 2013

  SEC Chairwoman Mary Jo White announced Monday that she has named Robert Rice, a former federal prosecutor, as her chief counsel.

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  Better Employee-Benefits Communication Means Happier Workers

  By Danielle Andrus, AdvisorOne  |  May 22, 2013

  Employers are “embracing benefits planning and combining traditional benefits communication with financial planning to help employees,” Liz Davidson, CEO and founder of Financial Finesse, said in a webcast on Tuesday.

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  Giachetti: Don’t Listen to the Kool-Aid Compliance Salesmen

  By John Sullivan, AdvisorOne  |  May 17, 2013

  If you like your compliance talk spiced up with frankness and salty language, Tom Giachetti of Stark & Stark is your man.

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  How to Protect Clients From Strippers and Cabana Boys

  By John Sullivan, AdvisorOne  |  May 4, 2013

  Speaking at FPA Retreat 2013, attorneys Basel and Grace Jamra focuses on advisors' role in client pre-nups and post-nups in a divorce-happy age.

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  Africa: Opportunity Beyond the S in BRICS

  By Marlene Y. Satter, AdvisorOne  |  May 2, 2013

  Investors considering going a bit farther afield than EU countries, Japan and other developed markets might want to consider Africa—and not just South Africa.

• Phoenix Report Shows Channel Distinctions

  By Janet Levaux  |  April 29, 2013

  There’s no question that financial advisors follow mutual fund and exchange-traded fund companies very closely, and it’s an equal certainty that among those fund firms, advisors have their favorite mutual fund and ETF brands.

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  SEC, DOL Must Collaborate on ‘Overlapping’ IRA Fiduciary Standards: Attorney Mason

  By Melanie Waddell, AdvisorOne  |  April 15, 2013

  The failure of the SEC and DOL to collaborate on their “overlapping” fiduciary rules on IRA advice will render the SEC’s current cost-benefit analysis worthless, says Kent Mason of Davis & Harman.

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  Compliance Officers Behaving Badly

  By Melanie Waddell, AdvisorOne  |  April 5, 2013

  The law firm Sutherland found a bevy of violations during its annual look at SEC and FINRA disciplinary actions on chief compliance officers and in-house counsel for BDs and advisory firms.