Dale Brown

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  Mary Jo White to be new SEC chair

  By Liz Festa  |  January 24, 2013

  The former New York prosecuter will oversee the SEC's plan to create a uniform fiduciary standard rule.

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  SRO Hearing in the House

  By Arthur D. Postal  |  June 6, 2012

  Broad fissures within the investment advisory community over how the industry should be regulated going forward were exposed today at a House hearing.

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  Bill Introduced to Make FINRA Self-Regulating

  By Arthur D. Postal  |  April 25, 2012

  Legislation has been introduced that will lay the groundwork for the Financial Industry Regulator Authority to become a self-regulatory organization for investment advisers.

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  Financial Services Roundtable: Start Saving Early for Retirement

  By Arthur D. Postal  |  April 9, 2012

  American families give themselves the best chance at a secure retirement by starting to invest as soon after they start working as possible, according to a study released today that was commissioned by three trade groups involved in the retirement sales industry.

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  DOL Cracks Down on Retirement Plan Advisors for Fiduciary Negligence

  By Melanie Waddell, AdvisorOne  |  February 27, 2012

  The Department of Labor’s Employee Benefits Security Administration has significantly raised its enforcement efforts in what should serve as a wakeup call to advisors who advise retirement plans and plan sponsors.

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  Stretch IRA Provision Removed from Highway Bill

  By Arthur D. Postal  |  February 22, 2012

  A provision in Senate legislation that had investment advisors up in arms because it would reduce the value of inherited IRAs has been removed.

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  DOL Faces Bi-Partisan Pushback Against Proposed Fiduciary Standard

  By Arthur D. Postal  |  December 5, 2011

  Fifty-five House Republicans today joined 30 House Democrats in requesting that the Department of Labor significantly narrow its definition of "fiduciary" in a rule the agency is currently drafting that would impact the sale of retirement products.