Carlo DiFlorio

Retirement News

By Melanie Waddell, AdvisorOne | June 1, 2010

Carlo DiFlorio, the new head of the Securities and Exchange Commission's (SEC) Office of Compliance Inspections and Examinations (OCIE), told attendees at the Insured Retirement...
Variable Products Move Onto SEC's Radar

By Melanie Waddell, AdvisorOne | April 29, 2010

SEC, FINRA to release updated report on effective VA practices
B/D News

By James J. Green, AdvisorOne | March 1, 2010

SEC Chairman Mary Schapiro told chief compliance officers attending the Commission's second CCOOutreach seminar January 26 that since more and more firms registered with the...
Schapiro: SEC Collaborating on Broker/Dealer, Advisor Exams

By Melanie Waddell, AdvisorOne | January 27, 2010

New OCIE director to focus on ways to better integrate B/D, advisor, mutual fund exams

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