Barbara Roper

• 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.

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  Senate Changes to JOBS Act Shot Down, Faces More Debate

  By Marlene Y. Satter, AdvisorOne  |  March 21, 2012

  The Senate took up debate on the House version of the JOBS act once again Wednesday after an abortive attempt on Tuesday to strengthen consumer protections by amendment failed.

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  Blistering Criticism of JOBS Bill May Push Senate Changes

  By Marlene Y. Satter, AdvisorOne  |  March 15, 2012

  A House bill intended to benefit business startups and stimulate job creation has been so sharply criticized on its way to the Senate that opponents may prevail in strengthening consumer protections they say were trashed.

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  JOBS Bill Under Fire by SEC, NASAA, Consumer Advocates

  By Marlene Y. Satter, AdvisorOne  |  March 13, 2012

  A bill that started out as seven separate pieces of legislation intended to benefit business startups and stimulate job creation is coming in for criticism as it heads to the Senate, as opponents say that it does away with consumer protection.

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  DOL ‘Disappointed’ With Industry Input on Fiduciary IRA Request

  By Melanie Waddell, AdvisorOne  |  February 29, 2012

  The Department of Labor’s EBSA says it is “disappointed” that industry trade groups could not provide more data by the Feb. 24 deadline, and it's "bewildered" that the data underlying the Oliver Wyman report is "not forthcoming."

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  Fiduciary Duty Rule: A Status Report One Year Later

  By Melanie Waddell, AdvisorOne  |  January 20, 2012

  January 21 marks the one-year anniversary of the SEC handing over to Congress its report under Section 913 of Dodd-Frank recommending that brokers adhere to a fiduciary duty.

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  Timing of SEC Fiduciary Rule in Flux

  By Melanie Waddell, AdvisorOne  |  January 13, 2012

  SEC Chairman Schapiro says agency's economists plan to ask public for more data on retail financial advice. How long will this take?