Dec 7, 2012
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
Person
Elisse Walter
4 articles
Articles tagged "Elisse Walter"
Nov 26, 2012
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
Jun 4, 2012
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
Jan 21, 2011
Six things to know about this week's big DC news
RIAs have the winning business model, but also more competition
— There are no additional results —