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Articles tagged "Mary Schapiro"


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Knut Rostad: One unfamiliar with the nuanced differences in play may well ask, 'What, again, is wrong with being suitable?'

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

Elisse Walter wants a "harmonized" fiduciary standard and is set to serve as the agency's leader until late in 2013

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

Douglas Hodge: We privatized profit and socialized losses.

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

Joe Russo: Everyone in D.C. knows that this Congress is never, ever, going to give the SEC more money.

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

Mary Schapiro:A fiduciary owes its customers and clients more than mere honesty and good faith alone.

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

Ron Rhoades: I have seen in my 25 years of practice ... a large number of individual Americans withdraw from the stock and bond markets after discovering the inadequacy of the conflict-ridden investment advice they received.

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

The SEC says fraud costs $40 billion a year

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

Articles in the mainstream media have framed Mary Schapiro as an outsider set to clean up the Street.

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

Looking ahead to next week: a powerful new committee will have its first meeting

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

Arlen Specter: I have long believed that it is insufficient to have fines for fraud. For corporate fraud, you have a fine and it is calculated as part of doing business.

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

Mary Schapiro: When investors receive similar services from similar financial service providers, they should be subject to the same standard of conduct

'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

December 17, 2009 at 3:23 PM

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