Barbara Roper

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  Ketchum’s Big SRO Omission

  By Melanie Waddell, AdvisorOne  |  February 25, 2013

  Richard Ketchum, CEO of FINRA, omitted a crucial detail in a recent interview he gave.

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  Top 5 Retirement Issues

  By Editorial Staff  |  February 25, 2013

  Investment Advisor talked to several of the main players on the retirement stage to get their thoughts on the big challenges of modern retirement.

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  No-Bull Bull Market

  By John Sullivan, AdvisorOne  |  February 25, 2013

  Sunny San Diego played host to this year’s TD Ameritrade annual conference, and the mood matched the weather.

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  FINRA Shifts SRO Fight to Senate, as House Effort Falters

  By Melanie Waddell, AdvisorOne  |  February 7, 2013

  With the House unlikely to pursue an SRO bill this year, FINRA has set its sights on the Senate to push a bill that would give FINRA the authority to become the SRO for advisors.

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  Obama Names Mary Jo White New SEC Chief

  By Melanie Waddell, AdvisorOne  |  January 24, 2013

  President Obama on Thursday named Mary Jo White as the new chairwoman of the SEC, taking over from Elisse Walter.

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  CFA’s Roper Calls Claim She Bullied Schapiro ‘Absurd’

  By Melanie Waddell, AdvisorOne  |  December 6, 2012

  A Wall Street Journal editorial says because SEC's Schapiro was ‘quaking in fear’ of Roper, she killed a Commission rule to lift ban on hedge fund, other private placement advertising.

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  Principles vs. Rules: The Fiduciary Debate in a Nutshell

  By James J. Green, AdvisorOne  |  October 25, 2012

  At TD Ameritrade conference, CFA's Roper, IAA's Tittsworth and SIFMA's Carroll agree, disagree and look ahead at fiduciary standard, SRO for RIAs.

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  Rule 506’s Lifting of Ban on Private Offering Advertising Will Create ‘Chaos’: Industry Groups

  By Melanie Waddell, AdvisorOne  |  October 10, 2012

  Heath Abshure, president of NASAA, was among those urging the SEC to withdraw the JOBS Act rule, saying “investors should and will flee from the market" without adequate protection.

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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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  As Congress Keeps SEC Budget Flat, SRO Specter Still Lurks

  By Melanie Waddell, AdvisorOne  |  September 24, 2012

  Before breaking for recess, Congress passed early Saturday a continuing resolution that would nearly flat-line the SEC's budget, renewing worries that a House bill calling for an SRO for advisors will be revived next year.