Investment Adviser Association

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  Rep. Waters reintroduces SEC user fees bill

  By Melanie Waddell  |  April 19, 2013

  The legislation comes just days after SEC Commissioner Walter called on Congress to fix advisor exams immediately.

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  FINRA quietly shifts SRO efforts to Senate

  By Melanie Waddell  |  February 7, 2013

  FINRA has set its sights on the Senate to push a bill that would give it the authority to become the SRO for advisors.

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  SEC to take another step toward fiduciary rule

  By Melanie Waddell  |  January 17, 2013

  The SEC plans to issue a “concept release” in the first quarter regarding its rule to put brokers under a fiduciary mandate.

• The impact of a universal fiduciary standard

  By Brian Anderson  |  August 1, 2012

  Few threats are scarier to the average independent life insurance producer than the potential banning of commission-based compensation for insurance product sales. And the prospect of adapting from a suitability standard of care to a fiduciary standard opens up another can of worms.

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  To Thwart SRO, Rep. Waters Introduces User Fee Bill

  By Melanie Waddell, AdvisorOne  |  July 30, 2012

  As she said she would, Rep. Maxine Waters, D-Calif., introduced on Wednesday the Investment Adviser Examination Improvement Act of 2012, which would allow the Securities and Exchange Commission (SEC) to collect user fees from advisors to fund their exams in lieu of a self-regulatory organization (SRO).

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  The impact of a universal fiduciary standard

  By Brian Anderson  |  July 30, 2012

  As it becomes more likely the SEC will impose a universal standard, independent producers have reason for concern.

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  Bachus to Introduce SRO Redraft Early Next Week: Industry Officials

  By Melanie Waddell, AdvisorOne  |  April 13, 2012

  House Financial Services Chairman Spencer Bachus (left), R-Ala., plans to introduce a redraft of his bill calling for a self-regulatory organization for advisors early next week, according to three top industry officials in Washington.

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  Pressure Mounts to Apply Fiduciary Duty to All Broker-Dealers

  By Elizabeth Festa  |  April 5, 2012

  Consumer Federation of America to the Certified Financial Planner Board of Standards, Inc. to the National Association of Personal Financial Advisors all tell SEC: Extend fiduciary, don't listen to complaints about commissions.

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  SEC, Congress Tussle Over Private Fund Advisor Registration

  By Melanie Waddell, AdvisorOne  |  March 9, 2012

  SEC Commissioner Daniel Gallagher told chief compliance officers on Thursday that he sees cases where the securities regulator can grant exemptive relief for private fund advisors that must register with the agency as mandated by Dodd-Frank.