Maxine Waters

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  Dale Brown: The 2013 IA 25 Extended Profile

  By Melanie Waddell, AdvisorOne  |  May 16, 2013

  When reminded that this is the seventh year that he’s been named to the IA 25, Dale Brown was quick to give kudos to his entire team, noting that the Financial Services Institute’s success doesn’t hinge on his abilities alone.

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  Richard Ketchum: The 2013 IA 25 Extended Profile

  By Melanie Waddell, AdvisorOne  |  May 14, 2013

  FINRA CEO Ketchum says that the regulator continues to believe current levels of advisor oversight and exams are "unacceptable and a risk to investors."

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  FPA’s Man in Washington Speaks of Planner Group’s Priorities

  By James J. Green, AdvisorOne  |  May 9, 2013

  At FPA Retreat 2013, Daniel Penchina voices optimism on SEC user fee legislation; vows more help for state FPA associations.

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  Crossing Paths: The 2013 IA 25

  By Editorial Staff  |  April 29, 2013

  With Investment Advisor's 13th annual list of the most influential individuals in and around the advisor business, we decided to do something different.

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  FPA Makes Two Big Pushes in Washington

  By Melanie Waddell, AdvisorOne  |  April 26, 2013

  The FPA is “well under way” in putting its advocacy infrastructure in place, FPA President Michael Branham told AdvisorOne in an interview Thursday.

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  Rep. Waters Reintroduces SEC User Fees Bill

  By Melanie Waddell, AdvisorOne  |  April 19, 2013

  Rep. Maxine Waters, D-Calif., on Friday made another go at allowing the SEC to collect user fees to fund advisor exams.

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  Congress Must Fix Advisor Exams Now: SEC’s Walter

  By Melanie Waddell, AdvisorOne  |  April 17, 2013

  The switching of advisors from SEC to state oversight under the Dodd-Frank Act is not “the final answer” to ensuring advisors are adequately examined, SEC Commissioner Elisse Walter told state securities regulators.

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  White Pledges to Weigh Cost of Fiduciary Rule as Ketchum Revives SRO Fight

  By Melanie Waddell, AdvisorOne  |  April 1, 2013

  Just as incoming Securities and Exchange Commission (SEC) Chairwoman Mary Jo White has pledged to lawmakers that she would carefully weigh the costs of a fiduciary rulemaking, Richard Ketchum, CEO of the Financial Industry Regulatory Authority (FINRA), is renewing his call for a self-regulatory organization to oversee advisors.

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  Black Caucus Members Balk at DOL Fiduciary Rule

  By Melanie Waddell, AdvisorOne  |  March 28, 2013

  The Congressional Black Caucus is warning the DOL that its plan to extend ERISA’s fiduciary standard to IRAs will hurt African-American savers.

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  NASAA’s Advocacy Agenda: Advisor Regulation, Fiduciary Duty, Arbitration

  By Heath Abshure, NASAA President  |  March 19, 2013

  Our agenda calls for Congress to ensure all investors are protected when receiving individualized investment advice. This revolves around two key issues.