Annette Nazareth

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  Top 13 Regulatory Predictions for 2013

  By Melanie Waddell, AdvisorOne  |  January 8, 2013

  Former SEC Commissioner Annette Nazareth, who’s now with Davis Polk & Wardwell, and her colleague Gabriel D. Rosenberg released in early January their list of 13 key regulatory predictions for this year.

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  Is SEC Really Too Cozy With Wall Street?

  By Gil Weinreich, AdvisorOne  |  September 6, 2012

  Revelations of the close ties between a former SEC commissioner and key SEC policymakers are reviving questions about a so-called “revolving door” in which the lure of future high-paying jobs may improperly influence government decisions.

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  With Lack of Funding, Congress Is 'Pulling the Rug Out' From Mary Schapiro

  By Melanie Waddell, AdvisorOne  |  February 8, 2011

• A Busy Year in Washington

  By Melanie Waddell, AdvisorOne  |  February 1, 2008

  The New Year is upon us, and perhaps the most significant event for the advisory industry has already taken place--the Rand report assessing the advisory...

• Changes

  By Staff Writer  |  November 1, 2007

  Securities and Exchange Commissioner Annette Nazareth announced October 2 her intention to leave the Commission to return to the private sector. With Nazareth's departure, the...

• Policing Hedge Funds

  By Melanie Waddell, AdvisorOne  |  July 11, 2007

  To restore the SEC's enforcement power in policing hedge funds post the Goldstein ruling, the SEC on July 11 adopted a new antifraud rule under...

• Watch Out

  By Melanie Waddell, AdvisorOne  |  February 1, 2007

  Broker/dealers and RIAs alike should ready themselves for a number of initiatives being worked on by their regulators in the New Year. (See following page...

• Taking It to The Hill

  By Melanie Waddell, AdvisorOne  |  October 1, 2006

  Independent broker/dealers and investment advisors lobbied members of Congress with a three-pronged message during the Financial Services Institute's (FSI) Public Policy Day in Washington September...

• Associations Express Pleasure at Cox Confirmation

  By Staff Writer  |  August 4, 2005

  WASHINGTON (HedgeWorld)--The full U.S. Senate, acting on a favorable report from its banking committee, voted to confirm President George W. Bush's three nominations to the Securities and Exchange Commission Friday, thus elevating Annette Nazareth to commissioner, extending the tenure of Commissioner Roel C. Campos to 2010, and making Rep. Christopher...

• A Pro-Business, Pro-Regulation SEC Chairman?

  By Melanie Waddell, AdvisorOne  |  July 28, 2005

  At hearing, Cox tells senators he will be a "vigorous" enforcerRep. Christopher Cox (R-California) told members of the Senate Banking Committee on July 26 that his top priority would be "vigorous enforcement" of securities laws if he's confirmed by the Senate as the new chairman of the Securities and Exchange...