Melanie Waddell

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  Are Ketchum’s Arguments for SRO the Best FINRA Can Come Up With?

  By Bob Clark, AdvisorOne  |  June 6, 2012

  My response to reading the FINRA chief’s testimony before Congress on advisor SRO: Really, dude?

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  The SEC Sure Isn’t Describing the Mark Spangler I Know

  By Bob Clark, AdvisorOne  |  May 22, 2012

  A cautionary tale or a rush to judgment? Why I'm giving the benefit of the doubt to the former NAPFA chairman.

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  Fiduciary Standard: Assessing SIFMA’s Peculiar Definition

  By Bob Clark, AdvisorOne  |  May 4, 2012

  With SRO for advisors back in play, comparing line-by-line SIFMA’s proposed fiduciary precepts with the 40 Act rules for RIAs.

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  The 2012 IA 25

  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.

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  On 5th Anniversary of FPA’s Win on ‘Merrill Rule,’ Fight Continues

  By James J. Green, AdvisorOne  |  March 30, 2012

  Lawsuit whose victory surprised and delighted many changed the conversation in Washington while industry still awaits shape of a final fiduciary rule.

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  Are RIAs Really a Bigger Regulatory Problem Than Brokers?

  By Bob Clark, AdvisorOne  |  March 20, 2012

  A look at the number of enforcement actions against each group provides a ready answer: part two of a series on the Bizarro World inside the beltway

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  What’s Behind Congressional Freeze on SEC Funding?

  By Bob Clark, AdvisorOne  |  March 15, 2012

  In part one of a two-part series on the Bizarro World inside the beltway, a skeptical observer suggests there’s a method to the madness of starving the SEC of what it needs to do its job.

• 401(k)s: Average Small Plan Expenses Exceed Large Plans’ Costs

  By Danielle Andrus, AdvisorOne  |  January 17, 2012

  Average expenses for small retirement plans are 1.3%, according to the 401k Averages Book, which published the 12th edition of its annual benchmark report on 401(k) fees on Tuesday.

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  Where Are We Headed?

  By Les Abromovitz  |  January 1, 2012

  The ultimate compliance goal is to help ensure that everyone associated with an advisory firm acts ethically at all times.  Advisors and RIAs should do the right thing, even when regulators are not looking over their shoulders.

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  Regulatory Oversight of Investment Advisors

  By Les Abromovitz  |  January 1, 2012

  Although the regulatory environment is in a state of flux, it is imperative that RIAs adhere to their compliance obligations. To ensure compliance, RIAs and IARs must fully understand what those obligations are.