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 at 4:41 AM
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
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 at 5:32 AM
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 at 5:18 AM
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 at 4:24 AM
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 at 5:55 AM
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 at 5:02 AM
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 at 7:18 AM
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 at 4:31 AM
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 at 6:06 AM
'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
