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Articles tagged "Mary Schapiro"


Knut Rostad: One unfamiliar with the nuanced differences in play may well ask, 'What, again, is wrong with being suitable?'

Op-Ed: The fiduciary standard is in worse shape than it was four years ago
The teachable moment of Lehman's collapse seems to have dissipated, and forces of dissimilation are winning the day

Friday 1.11.13
Elisse Walter wants a "harmonized" fiduciary standard and is set to serve as the agency's leader until late in 2013

Obama makes 'really unfortunate' appointment of Elisse Walter as new SEC chairman
The former FINRA, CFTC and SEC exec will replace Mary Schapiro next month as RIA leaders brace for a new round of regulatory battles

Monday 11.26.12
Douglas Hodge: We privatized profit and socialized losses.

New York conference: SIFMA wants members to be like RIAs -- minus the same rules of accountability
Alan Greenspan jumped in on the mea-culpa-fest that included bracingly frank comments from a top Pimco official

Wednesday 10.24.12
Joe Russo: Everyone in D.C. knows that this Congress is never, ever, going to give the SEC more money.

New FSI chairman isn't sugarcoating FINRA's shortcomings but blasts the SEC on porn and Blackberries in this letter
Joe Russo says that 25% of his group's own membership doesn't favor extending FINRA's dominion to RIAs

Wednesday 5.30.12
Mary Schapiro:A fiduciary owes its customers and clients more than mere honesty and good faith alone.

How 10 top groups define 'fiduciary'
Obama administration, SEC, FINRA, FPA, fi360, U.S. Supreme Court and SIFMA raise fiduciary bar to different heights

Friday 1.21.11
Ron Rhoades: I have seen in my 25 years of practice ... a large number of individual Americans withdraw from the stock and bond markets after discovering the inadequacy of the conflict-ridden investment advice they received.

One-Man Think Tank: What would Adam Smith say about the fiduciary standard?
As the SEC ruminates, the invisible hand lurks and Rhoades finds support for a strong standard in unlikely places

Monday 11.22.10
The SEC says fraud costs $40 billion a year

Regulatory Wire: CREW report criticizes the SEC and blasts its chairman, Mary L. Schapiro, for being slow to fight fraud
Measures against the Bernie Madoffs, Kenneth Starrs called insufficient; accountants on extensible business reporting language; and a strong letter from NASSA

Friday 6.4.10
Articles in the mainstream media have framed Mary Schapiro as an outsider set to clean up the Street.

How Time magazine's "Sheriff" article about Mary Schapiro, Sheila Blair and Elizabeth Warren misses the mark
Applying the busting-through-the-glass-ceiling narrative to women presumes that they haven't already

Wednesday 5.26.10
Looking ahead to next week: a powerful new committee will have its first meeting

Regulatory Wire: Is it game-over for the fiduciary standard this year? Advocates say, maybe not
Johnson amendment, calling for study of harmonizing regulations, passes as part of 1,596-page bill

Friday 5.21.10
Arlen Specter: I have long believed that it is insufficient to have fines for fraud. For corporate fraud, you have a fine and it is calculated as part of doing business.

Regulatory Wire: Advisor groups long have pushed for the fiduciary standard; because of the Goldman Sachs case, they may get what they asked for, and more
Senators call for ERISA-level standards of care for retail investors; also, Schapiro puts new ADV part 2 back on the radar

Friday 5.7.10
Mary Schapiro: When investors receive similar services from similar financial service providers, they should be subject to the same standard of conduct

'Unthinkable' progress was made on creating a new regulatory world for advisors in 2009
Change is in the air but upcoming Senate elections complicate prospects for 2010

Thursday 12.17.09

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Ron Rhoades: Don’s view reflects a misunderstanding of the breadth of the fiduciary principle.
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Adam Nash: When you start handling large accounts, you start having to deal the problems that come with them.
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Wealthfront throws engineering at its large-account 'problem'

Naureen Hassan's revenue weapons for robo-accounts include one howitzer.
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Stephen J. Huxley: Only those with very large stashes of cash will be willing to pay for the privilege of depositing their wealth in a bank.
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Are negative yields for US bonds on the horizon?

Burton G. Malkiel: Yes, there could be a problem if all investors indexed, but as long as the profit motive is alive and well it is inconceivable that such an event would happen.
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Has indexing become too popular?


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