Mary Jo White

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  FINRA’s Ketchum to SEC: Act Now on Fiduciary, or We’ll Make Our Own Disclosure Rules

  By Melanie Waddell, AdvisorOne  |  May 21, 2013

  FINRA CEO Richard Ketchum called on the SEC Tuesday to “act quickly” to put brokers and advisors under a uniform fiduciary standard, but noted that in the absence of SEC action, FINRA “will look hard” at issuing “an additional disclosure rule” for BDs.

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  Bond Investors Must Prepare for Rate Spike: SEC’s Walter

  By Melanie Waddell, AdvisorOne  |  May 20, 2013

  At the FINRA conference, SEC Commissioner Elisse Walter also said it was time to get to the "nitty-gritty" of a fiduciary rule.

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  The 2013 IA 25: Advisor Advocates and Regulators

  By Editorial Staff  |  May 20, 2013

  Since the financial crisis, advisors have had to defend their businesses from wary consumers, overzealous legislators and sometimes even other advisors whose unscrupulous actions would cast good advisors in the same shadow as bad advisors.

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  House Passes SEC Cost-Benefit Bill

  By Melanie Waddell, AdvisorOne  |  May 17, 2013

  Planning groups are at odds over a bill that passed the House on Friday requiring the SEC to conduct more rigorous cost-benefit analyses before making rules.

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  Schwab Backs Off on Class-Action Ban—for Now

  By Melanie Waddell, AdvisorOne  |  May 17, 2013

  Charles Schwab on Thursday said it would lift a ban on client class-action suits until all legal and regulatory challenges were resolved.

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  House Bill to Require SEC, DOL Fiduciary Collaboration

  By Melanie Waddell, AdvisorOne  |  May 16, 2013

  But SEC’s Mary Jo White maintains SEC and DOL are "two different agencies"; says more exam "coverage" is needed for advisors.

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  NASAA Joins FINRA in Fight Against Schwab Class-Action Ruling

  By Melanie Waddell, AdvisorOne  |  May 9, 2013

  State securities regulators are throwing their support behind FINRA in its battle to overturn a decision by its hearing panel that allowed Charles Schwab & Co. to block customer participation in class-action lawsuits.

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  MSRB (Still) Awaits SEC Muni Advisor Rule; Plans EMMA 2.0

  By Melanie Waddell, AdvisorOne  |  May 8, 2013

  Three years after passage of the Dodd-Frank Act, the Municipal Securities Rulemaking Board is still waiting for the SEC to issue its rule defining who is a municipal advisor.

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  SEC Chief Defends Budget Request to Skeptical Lawmakers

  By Melanie Waddell, AdvisorOne  |  May 7, 2013

  SEC Chairwoman Mary Jo White told a House panel on Tuesday that the agency’s $1.67 billion budget request for 2014 would help the agency fulfill one of its top priorities: adding 250 examiners for advisors.

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  SEC’s White: Money-Market Fund Reforms Coming in ‘Near Future’

  By Melanie Waddell, AdvisorOne  |  May 3, 2013

  But SEC Chairwoman Mary Jo White remained tight-lipped on the specifics of those changes.