News, Vision and Voice for
the Advisory Community
advertisement

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

From the RIABiz Directory »

The Industry Sourcebook for RIAs


Browse All Archives


2014


    October
    September
    August
    July
    June
    May
    April
    March
    February
    January

2013


    December
    November
    October
    September
    August
    July
    June
    May
    April
    March
    February
    January

2012


    December
    November
    October
    September
    August
    July
    June
    May
    April
    March
    February
    January

2011


    December
    November
    October
    September
    August
    July
    June
    May
    April
    March
    February
    January

2010


    December
    November
    October
    September
    August
    July
    June
    May
    April
    March
    February
    January

2009


    December
    November
    October
    September
    August

Most Emailed Stories »

Brent Burns: A bond fund is simply a mutual fund that happens to own bonds (or in many cases derivatives) with no obligation to pay back anything.
30 shares
Why unconstrained bond fund skepticism is justified (think 2008, not 2013) and why RIAs should say: None of the above

Jon Stein: We've been working on it for the last six months. We wanted to wait until tax loss harvesting and trust account support was in place.
24 shares
Fidelity and Betterment sign a deal with Steve Lockshin and Marty Bicknell as groomsmen at the altar

David Stofer: At SageView I had to sell and service clients....I want to be a consultant.
5 shares
How Mariner Holdings is angling to become a $3-billion 401(k) company overnight by co-opting a local SageView office

The forecast for the 401(k) business is bright and foggy.
5 shares
What exactly is doable for an RIA in the 401(k) business?

No rumor: Bill Van Law announces that Raymond James-affiliated RIAs will have access to Hearsay Social.
4 shares
Ray-Jay RIA event produces how-I-did-it talks from four high-achieving RIAs


Get the RIABiz Today
Email Alert »