Eileen Rominger

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  Senate to Grill SEC Chiefs at Oversight Hearing

  By Melanie Waddell, AdvisorOne  |  November 10, 2011

  A Senate Banking Subcommittee plans to hold a hearing on Nov. 16 on management and structural reforms at the SEC, with Robert Khuzami and others facing off with the Senators.

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  SEC’s Rominger: Agency Studying Mutual Fund Shareholder Reports, Financial Literacy

  By Melanie Waddell, AdvisorOne  |  November 3, 2011

  The SEC's study on financial literacy will help SEC in rulemaking on point of sale disclosures of an investment product or service, Rominger says

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  Don’t Blame All ETFs for Market Volatility, Schwab Says

  October 21, 2011

  As the SEC considers whether exchange traded funds are to blame for causing the recent spate of market volatility, Charles Schwab’s ETF team stepped forward Friday to defend them.

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  SEC Assessing ETFs’ Effect on Market Volatility, Rominger Tells Senate

  By Melanie Waddell, AdvisorOne  |  October 19, 2011

  The director of the SEC's Division of Investment Management told a Senate panel that the commission was reviewing the adequacy of investor disclosure about the ETFs, their liquidity and whether they contribute to market volatility.

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  SEC's Rominger: 'Proliferation' of Variable Products Raises Regulatory Worries

  By Melanie Waddell, AdvisorOne  |  June 29, 2011

  Eileen Rominger, director of the SEC Division of Investment Management, said the securities regulator is seeing a “proliferation” of new variable insurance product designs and innovations, some of which “raise substantive regulatory concerns.”

• Schapiro Says SEC to Focus in July on Fiduciary, 12b-1

  By Melanie Waddell, AdvisorOne  |  June 1, 2011

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  Eileen Rominger, SEC: The Extended 2011 IA 25 Profile

  By James J. Green, AdvisorOne  |  May 16, 2011

  Introducing Eileen Rominger to a room full of compliance professionals, David Tittsworth coaxed laughter from the audience when he said, “I think it’s fantastic that she’s not an attorney. She’s a real portfolio manager!”

• Follow the Leaders: The 2011 IA 25

  By Editorial Staff  |  May 1, 2011

  In the nine years that Investment Advisor has published the IA 25, our editors’ judgment as to the 25 most influential people in and around the advisor community, we’ve never ranked the 25 in the order of their importance.

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  Follow the Leaders: The 2011 IA 25

  By Editorial Staff  |  May 1, 2011

  In the nine years that Investment Advisor has published the IA 25, we’ve never ranked the 25 in the order of their importance.

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  SEC's Rominger: 12b-1, Money Market Fund Reform, ETF Oversight 'Extremely Important'

  By Melanie Waddell, AdvisorOne  |  April 28, 2011

  Eileen Rominger, director of the SEC's Division of Investment Management, said Thursday that the heavy workload under Dodd-Frank had not deterred the agency from moving forward on “extremely important” issues like 12b-1 reform and oversight of ETFs.