Articles tagged "Mary Schapiro"


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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

January 11, 2013 — 4:41 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

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

October 24, 2012 — 5:32 AM UTC

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

May 30, 2012 — 5:18 AM UTC

How 10 top groups define 'fiduciary'

Obama administration, SEC, FINRA, FPA, fi360, U.S. Supreme Court and SIFMA raise fiduciary bar to different heights

January 21, 2011 — 4:24 AM UTC

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

November 22, 2010 — 5:55 AM UTC

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

June 4, 2010 — 5:02 AM UTC

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

May 26, 2010 — 7:18 AM UTC

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

May 21, 2010 — 4:31 AM UTC

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

May 7, 2010 — 6:06 AM UTC