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Two Roads Shared Trust last week revealed in a Securities and Exchange Commission filing what it alluded to in a press release earlier this month.

Oppenheimer Funds’ New York Board has added two new members to its roster in the form of Joanne Pace and Admiral Edmund Giambastiani, Jr.

So what are three elements that are going to shape the mutual fund landscape in 2013?

The Securities and Exchange Commission last week barred an Arizona-based mutual fund manager from the securities industry for failing to follow his own prospectus, which led to his fund’s collapse.

ALPS last week unveiled its exchange-traded fund joint venture with Goldman Sachs in the form of four new ETFs.

“The banking space is definitely going to get smaller,” predicts Robert Bolton, president of Rochester, NY-based Iron Bay Capital, which runs a long-short fund that invests exclusively in financial institution stocks.

For Annemarie Thomas, a Wells Fargo financial advisor who ranks number 40 on On Wall Street’s list, now is the time to take advantage of a “sea change” for women and finances.

After the landmark Dodd-Frank financial reform bill and continued calls for tighter scrutiny of the financial sector, 2012 brought a flurry of congressional hearings, public comments on rule proposals, and lobbying and public posturing by various stakeholders. Scores of new rules and regulations that could affect the advisory industry made their way through varying stages of development. But for all the noise this year, what actually changed?

President Obama, facing a budget stalemate with Republicans, urged leaders of both parties to assemble an interim bill to keep taxes from rising on middle- income Americans as they work on a more comprehensive plan.

Robert Khuzami, who led the U.S. Securities and Exchange Commission’s enforcement division’s pursuit of financial industry wrongdoing related to the subprime crisis, plans to step down as early as next month, three people with knowledge of the matter said.