Barbara Roper

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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.

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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%.