Spencer Baucus

• 

  Real SEC Reform or Half Measure?

  By Robert Bloink, Esq., LL.M., William H. Byrnes, Esq.  |  August 24, 2011

  Does the SEC Modernization Act have a real shot at bringing 'comprehensive reform' to the SEC?

• 

  50 Top Women in Wealth, the Regulators: Bair, Schapiro, Warren—Slideshow

  By Editorial Staff  |  July 25, 2011

  While all 50 honorees of the 50 Top Women in Wealth for 2011 deserve recognition for their accomplishments and leadership, we are taking some extra time to look at certain members of the list, this year grouped by the major roles they play in wealth management.

• 

  Elizabeth Warren: Beacon of Hope, or Lightning Rod?—Top Women Extended Profile

  By Marlene Y. Satter  |  July 5, 2011

  Her leadership of the CFPB may well affect all American consumers and the companies—and advisors—who want their business.

• Financial Reform Bill Approved: House Vote Is 223-202

  By Melanie Waddell, AdvisorOne  |  December 11, 2009

  FINRA will not have oversight of advisors associated with B/Ds, for now.

• House Approves Financial Reform Bill

  By Melanie Waddell, AdvisorOne  |  December 11, 2009

  The full House approved by a vote of 223 to 202 today, December 11, the sweeping financial services reform bill, the Wall Street Reform and Consumer Protection Act (H.R. 4173).

• FINRA Provision Deleted From Reform Bill

  By Melanie Waddell, AdvisorOne  |  December 11, 2009

  The provision that would have given FINRA the authority to inspect and regulate any investment advisor associated with a broker/dealer was successfully deleted from the huge financial services reform bill on December 11.