Barbara Roper

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  Vanguard’s Bogle to SEC’s Schapiro: Include Institutional Advisors in Fiduciary Rule

  By Melanie Waddell, AdvisorOne  |  September 11, 2012

  In the debate over how to shape a fiduciary mandate for brokers, Vanguard founder John Bogle says that the SEC should include in its rule advisors to registered investment companies, which have been “ignored.”

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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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  Why Focus Only on the Surface Costs of Fiduciary Advice?

  By Bob Clark, AdvisorOne  |  September 4, 2012

  It’s time we started talking about what financial consumers are giving up in return for their “free” advice.

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  Fiduciary Rule Backers Renew Critique of Oliver Wyman Study

  By John Sullivan, AdvisorOne  |  August 31, 2012

  Proponents of a fiduciary standard for IRA advisors, including Barbara Roper of the Consumer Federation of America, are once again crying dirty pool over a widely reported study.

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  Remedy to Boost Advisor Exams Out of Reach This Year

  By Melanie Waddell, AdvisorOne  |  August 21, 2012

  Two important issues for the advisory industry will remain unresolved until next year: how to boost investment advisor exams—either through a self-regulatory organization (SRO) or via user fees—as well as a rule to put brokers under a fiduciary mandate.

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  Consumer Group Rails Against House Passage of Red Tape Reduction Act

  By Melanie Waddell, AdvisorOne  |  July 27, 2012

  The Consumer Federation of America is up in arms over a bill the House passed Friday that halts most new regulations for two years or until the unemployment rate falls below 6%.

• The Heat Rises on FINRA as Advisor SRO

  By Melanie Waddell, AdvisorOne  |  June 26, 2012

  Just as a government watchdog is pressuring the Securities and Exchange Commission (SEC) to beef up its oversight of the Financial Industry Regulatory Authority (FINRA), Congress is mulling whether to give FINRA the power to oversee 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.

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  SEC Forms New Investor Advisory Committee

  By Marlene Y. Satter, AdvisorOne  |  April 12, 2012

  The SEC announced the makeup of its new Investor Advisory Committee, a Dodd-Frank requirement. Among its members: Mellody Hobson of Ariel, Steven Wallman of Foliofn, and Barbara Roper of the CFA.

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  To Break Fiduciary Deadlock, Groups Lay Out Path for SEC

  By Melanie Waddell, AdvisorOne  |  March 30, 2012

  Seven leading consumer and industry groups supporting a uniform fiduciary duty provided the SEC on Thursday with a “roadmap” for resolving the debate about how to create that rule.