Articles tagged "Elisse Walter"


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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 — 4:52 AM UTC

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 — 9:33 PM UTC

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 — 8:28 PM UTC

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

RIAs have the winning business model, but also more competition

January 21, 2011 — 2:37 PM UTC
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