Troy Paredes

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  House GOP Rejects Frank Measure for SEC Funding Boost

  By Melanie Waddell, AdvisorOne  |  March 7, 2012

  Republican members of the House Financial Services Committee rejected, 25-17, an amendment introduced by Rep. Barney Frank, D-Mass., that called for approving President Barack Obama’s proposed budget increase for the Securities and Exchange Commission in 2013.

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  As Academic Research Shows, Disclosure Fails to Protect Investors From Advisors’ Conflicts

  By Knut A. Rostad  |  September 22, 2011

  Just listen to Yale Management Professor Daylian Cain's sobering view: “Conflicts of interest are a cancer on objectivity. Even well-meaning advisors often cannot overcome a conflict and give objective advice."

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  SEC Dropping ‘Proxy Access’ Appeal

  By John Sullivan, AdvisorOne  |  September 7, 2011

  The Securities and Exchange Commission announced late Tuesday that it would not seek an appeal of a decision by the U.S. Court of Appeals in Washington, D.C., over its so-called “proxy access” rule.

• The Polar Bears

  By Bob Clark, AdvisorOne  |  May 1, 2011

  I don’t usually write about politics, except when it has a direct impact on financial advice, and this appears to be one of those times.

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  House GOP to SEC: Regulator Lacks 'Solid Basis' for Fiduciary Rulemaking

  By Melanie Waddell, AdvisorOne  |  March 18, 2011

  Rep. Steve Garrett, R-N.J., chairman of the House Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises, told SEC chairman Mary Schapiro in a March 17 letter to not move forward with a fiduciary duty rule...

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  Reaction to SEC’s Fiduciary Study Is Entwined With Politics

  By Kathleen McBride, AdvisorOne  |  January 24, 2011

  The SEC’s Study on Investment Advisers and Broker-Dealers, which was released to Congress Friday night, has brought reaction or comment from some industry groups that, so far, are lining up in fairly predictable ways.

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  SEC Tells Congress It Will Proceed With Uniform Fiduciary Standard for Brokers, Advisors

  By Melanie Waddell, AdvisorOne  |  January 22, 2011

  The SEC told Congress that it would move forward in creating a new uniform fiduciary standard of care for broker-dealers and investment advisors when providing advice to retail customers.