Neil Simon

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  Mary Jo White Commits to Reviewing Fiduciary Comments

  By Melanie Waddell, AdvisorOne  |  March 12, 2013

  Mary Jo White told the Senate Banking Committee on Tuesday that she would “commit” to reviewing the request for public comment on the agency’s fiduciary rule before releasing a proposal.

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  Three Washington Heavyweights to Drive Advisor Agenda in ’13

  By Melanie Waddell, AdvisorOne  |  December 19, 2012

  Three key Washington heavyweights will have a crucial role in advisors’ lives next year: Elisse Walter, the new SEC chairman; Rep. Jeb Hensarling, the incoming House Financial Services chairman; and Phyllis Borzi, at the DOL’s EBSA.

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  SEC Fiduciary Rule Stalled—But for How Long?

  By Melanie Waddell, AdvisorOne  |  September 25, 2012

  A fiduciary rule from the SEC looks to be years away.

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  Vanguard’s Bogle to SEC’s Schapiro: Include Institutional Advisors in Fiduciary Rule

  By Melanie Waddell, AdvisorOne  |  September 11, 2012

  In the debate over how to shape a fiduciary mandate for brokers, Vanguard founder John Bogle says that the SEC should include in its rule advisors to registered investment companies, which have been “ignored.”

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  SEC’s Schapiro to AdvisorOne: Fiduciary Issue Still ‘Important’

  By Melanie Waddell, AdvisorOne  |  September 10, 2012

  Before meeting with industry heavyweights on Tuesday regarding the fiduciary rule, Schapiro told AdvisorOne that the SEC is still working to advance a fiduciary rulemaking.

• Unleash the Hounds

  By John Sullivan, Investment Advisor  |  July 24, 2012

  By hounds, we mean lawyers; not that we’re necessarily comparing lawyers to dogs, but the former do have something of a Pavlovian response to new regulation and the potential “opportunity” it affords … we’ll leave it at that.

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  Could You Have Saved These Clients? 7 Scams That Hit Celebrities Hard

  By Dan Berman, AdvisorOne  |  July 20, 2012

  Financial scandals are usually named for their perpetrators, not their victims, unless those ripped off are the famous.

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  Bachus to Introduce SRO Redraft Early Next Week: Industry Officials

  By Melanie Waddell, AdvisorOne  |  April 12, 2012

  Rep. Bachus' revised bill comes despite economic analysis saying SRO would cost twice as much as funding the SEC.

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  Bachus SRO Redraft Likely This Year: IAA’s Neil Simon

  By Melanie Waddell, AdvisorOne  |  March 9, 2012

  Top lobbyist for Investment Adviser Association said Rep. Spencer Bachus will release this year revised legislation calling for a self-regulatory organization for advisors, though action may wait until new Congress in 2013.

• Industry Lobbying of SEC on Fiduciary Standard to Continue

  By Melanie Waddell, AdvisorOne  |  August 31, 2010

  Unclear whether SEC will seek input on study of FINRA as SRO for advisors.