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By Melanie Waddell, AdvisorOne |
May 22, 2012
I recently sat down with two leaders of the Financial Planning Association—Marv Tuttle, executive director and CEO, and Paul Auslander, FPA’s president—to talk about the top issues facing advisors.
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By Melanie Waddell, AdvisorOne |
May 21, 2012
The SEC recently announced three executive appointments, including a new post, managing executive of the Division of Trading and Markets.
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By Melanie Waddell, AdvisorOne |
May 11, 2012
During a conversation between Schapiro and Mellody Hobson, president of Ariel Investments, at the ICI's annual conference, Hobson said the industry and the SEC were at “loggerheads” over the SEC’s plans.
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By Melanie Waddell, AdvisorOne |
May 8, 2012
On two of the top issues affecting the investment advisory space, Mary Schapiro, chairman of the Securities and Exchange Commission, is adamant: Brokers should be held to a fiduciary mandate and a self-regulatory organization to help the agency examine advisors must be explored.
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By Melanie Waddell, AdvisorOne |
May 7, 2012
SEC Chaiwrman Mary Schapiro has agreed to meet Tuesday with a bipartisan group of organizations to hear demands that it take on what activists say is the rise of secret corporate spending in elections.
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By Melanie Waddell, AdvisorOne |
May 2, 2012
In a recent wide-ranging interview with AdvisorOne, two of the top executives at the FPA, Marv Tuttle and Paul Auslander, talked about the top issues facing advisors.
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By Melanie Waddell, AdvisorOne |
May 1, 2012
The SEC has appointed George Canellos, the current director of its New York regional office, as deputy director of the Division of Enforcement.
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By Melanie Waddell, AdvisorOne |
April 25, 2012
House Financial Services Chairman Spencer Bachus reintroduced on Wednesday his draft bill calling for an SRO for advisors—one week after industry sources told AdvisorOne that an SRO bill was imminent.
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By Jane Wollman Rusoff |
April 25, 2012
Derivatives expert Janet Tavakoli takes a hard look at what — and who — caused the financial crisis.
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By Editorial Staff |
April 24, 2012
Some people ride a wave and some people, like the honorees of the 10th annual IA 25, create a wave.
