U.S. Court of Appeals

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  On 5th Anniversary of FPA’s Win on ‘Merrill Rule,’ Fight Continues

  By James J. Green, AdvisorOne  |  March 30, 2012

  Lawsuit whose victory surprised and delighted many changed the conversation in Washington while industry still awaits shape of a final fiduciary rule.

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  Supreme Court Rules in Favor of Arbitration–Again

  By Melanie Waddell, AdvisorOne  |  January 16, 2012

  Last Tuesday, the Supreme Court ruled in Compucredit Corp. v. Greenwood in favor of what the law firm Sutherland Asbill & Brennan says is the latest in a series of opinions that have 'come down firmly on the side of the enforceability of consumer arbitration agreements.'

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  New Hire Roundup: Conley Rises at SEC

  By Marlene Y. Satter, AdvisorOne  |  October 13, 2011

  This week in new hires, Michael A. Conley was named deputy general counsel in the SEC’s office of general counsel. Also, Scott L. Lummer was named CIO and head of Savant Investment Group’s new Santa Rosa office.

• U.S. Court Curbs FINRA’s Disciplinary Powers

  By Melanie Waddell, AdvisorOne  |  October 6, 2011

  A federal appeals court in Manhattan ruled Wednesday that FINRA did not have the right to take its members to court to enforce its disciplinary actions.

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  While Bachus Pushes Advisor SRO Bill, Sen. Johnson Isn't Quite Ready

  By Melanie Waddell, AdvisorOne  |  September 21, 2011

  Bachus has warmed up to more SEC funding because he sees that it would help the SEC with its oversight of any advisor SRO.

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  Congress to DOL's Borzi: Repropose Fiduciary Rule, Too Broad

  By Melanie Waddell, AdvisorOne  |  July 26, 2011

  Lawmakers told EBSA head Borzi on Tuesday to repropose EBSA’s controversial regulation amending the definition of fiduciary because it's too broad and because the agency failed to examine the full cost of expanding the definition.