Nancy Lininger

• Piling On

  By Melanie Waddell, AdvisorOne  |  March 1, 2006

  Ask any advisor what their biggest bugaboo is these days and they're sure to utter one word: compliance. Over the past few years, the SEC...

• Mini-Sweeps Season

  By Melanie Waddell, AdvisorOne  |  July 1, 2005

  Investment advisors and mutual funds are prodding the Securities and Exchange Commission to revamp and curtail its use of its new two-year examination schedule called...

• Compliance Zero Hour

  By Melanie Waddell, AdvisorOne  |  September 1, 2004

  The October 5 deadline for advisors to appoint a chief compliance officer and adopt formal compliance procedures is right around the corner. Are you ready? My...

• Fly Right

  By Marlene Y. Satter, AdvisorOne  |  June 1, 2004

  With changes afoot on everything from e-mail archiving to breakpoints to money laundering and the Patriot Act, independent broker/dealers have to be nimble. Into the...

• Capitol Punishment?

  By Melanie Waddell, AdvisorOne  |  May 1, 2002

  Washington says it's trying to protect consumers,