Arthur Levitt

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  Ex-SEC Chief Schapiro Joins Compliance Firm Promontory

  By Melanie Waddell, AdvisorOne  |  April 2, 2013

  Schapiro joins several other former regulators at the strategy and compliance consultancy, which counts many large banks as its clients.

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  The Bonus Debate

  By Bob Clark, AdvisorOne  |  October 31, 2012

  Much as I believe that investors everywhere would benefit from a level playing field between RIAs and brokers, the disclosure of recruiting bonuses would be over the top.

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  Should Brokers Be Forced to Disclose Their Bonuses to Clients?

  By Gil Weinreich, AdvisorOne  |  October 30, 2012

  SEC Chairwoman Mary Schapiro in 2009 wrote a letter to broker-dealer CEOs warning them about recruiting brokers with high upfront bonuses.

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  SEC Fiduciary Rule Stalled—But for How Long?

  By Melanie Waddell, AdvisorOne  |  September 25, 2012

  A fiduciary rule from the SEC looks to be years away.

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  SEC’s Schapiro to AdvisorOne: Fiduciary Issue Still ‘Important’

  By Melanie Waddell, AdvisorOne  |  September 10, 2012

  Before meeting with industry heavyweights on Tuesday regarding the fiduciary rule, Schapiro told AdvisorOne that the SEC is still working to advance a fiduciary rulemaking.

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  Kicking SEC’s Fiduciary Efforts Back Into Gear

  By Melanie Waddell, AdvisorOne  |  September 5, 2012

  Barbara Roper of the CFA and others discussed ways to get the SEC to move forward on proposing a fiduciary rule on a conference call Wednesday.

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  Fiduciary Rule Could Be Years Away: Industry Experts

  By Melanie Waddell, AdvisorOne  |  August 22, 2012

  Knut Rostad, president of the Institute for the Fiduciary Standard, told AdvisorOne on Wednesday that regulators will most likely "continue to punt" the fiduciary issue.

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  New York on Solid Ground to Sanction Standard Chartered, Experts Say

  By Marlene Y. Satter, AdvisorOne  |  August 10, 2012

  Experts in the U.S. and abroad say that the bank's internal e-mails give the New York regulator a basis for its unilateral action.

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  On Dodd-Frank’s 2nd Birthday, Should Investors Celebrate?

  By Knut A. Rostad  |  July 20, 2012

  Individual investors have not witnessed dramatic regulatory changes favoring investors over the past two years, but they seem to be voting with their assets, moving them more toward fiduciary advisors.

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  New SEC Committee to Put Retail Investors First

  By Melanie Waddell, AdvisorOne  |  June 12, 2012

  “Many individual investors feel like they are under siege,” SEC Commissioner Luis Aguilar said at the group's first meeting.