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 at 4:52 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
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
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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