Securities Exchange Commission

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  In Election’s Wake: What Now for Advisors?

  By John Sullivan, AdvisorOne  |  November 8, 2012

  TDAI offers some insight to changes at SEC, key congressional committees and 401(k)s.

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  Scope of the Fiduciary Duty Owed by Investment Advisors

  By Les Abromovitz  |  January 1, 2012

  A fiduciary obligation goes beyond the suitability standard typically owed by registered representatives of broker-dealer firms to clients. The relationship is built on the premise that the advisor will always do the right thing for the person or entity receiving advice.

• After FINRA Office Alters Files, SEC Orders SRO to Change Its Ways

  By Marlene Y. Satter, AdvisorOne  |  October 27, 2011

  Fed up with receiving altered documents--three times in eight years--the SEC ordered FINRA to hire an independent consultant to improve its procedures for producing documents during SEC inspections.

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  Revisiting Reg D

  By Jeff Joseph  |  July 28, 2011

  Our regular readers do a great job of ensuring I never am at a loss for timely column ideas.