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Articles tagged "Elisse Walter"


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Patrick Burns: By opening the door for RIAs to have their arbitration cases held before a FINRA arbitration panel, it seems that FINRA has taken another step in its quest to become the SRO for RIAs.

Analysis: Beware of a FINRA bearing gifts for RIAs

The broker regulator takes another step towards ruling RIAs by making its arbitration process open to them

December 7, 2012 at 4:52 AM

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

November 26, 2012 at 9:33 PM

Barbara Roper: This legislation does even less to achieve that goal of harmonization than it does to solve the resource problem.

Barbara Roper sends stern letter to Rep. Bachus raising new FINRA-as-SRO issues

Consumer Federation of America: Smaller firms would bear the brunt of costs and broker/advisor confusion may only increase under the contemplated bill

June 4, 2012 at 8:28 PM

Alex Potts, CEO of Loring Ward: "To throw more bureaucracy at a system that has been working well ... it almost makes you cringe."

Six things to know about this week's big DC news

RIAs have the winning business model, but also more competition

January 21, 2011 at 2:37 PM

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