Elisse Walter

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  Getting Your CCO Hat to Fit: Tips for the Smaller RIA

  By Chris Stanley, Loring Ward  |  June 7, 2013

  In five somewhat easy steps, how even a small RIA firm owner can be happy and compliant at the same time.

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  Schwab’s Clark to SEC: Don’t Link Fiduciary and Harmonization

  By Melanie Waddell, AdvisorOne  |  June 6, 2013

  As the SEC continues to gather data for a fiduciary rule, Bernie Clark of Schwab Advisor Services says Schwab’s mission is to ensure that a fiduciary rule is not coupled with harmonization of broker and advisor rules.

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  Obama Names Replacements for SEC’s Walter, Paredes

  By Melanie Waddell, AdvisorOne  |  May 24, 2013

  Kara Stein of Sen. Jack Reed’s office will replace Walter, while Senate Banking economist Mike Piwowar will replace Paredes.

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  FINRA’s Ketchum to SEC: Act Now on Fiduciary, or We’ll Make Our Own Disclosure Rules

  By Melanie Waddell, AdvisorOne  |  May 21, 2013

  Ketchum said, that without action, FINRA would “look hard” at issuing “an additional disclosure rule with respect to broker-dealer firms.”

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  Bond Investors Must Prepare for Rate Spike: SEC’s Walter

  By Melanie Waddell, AdvisorOne  |  May 20, 2013

  At the FINRA conference, the former SEC chairwoman said that she continues to be “disturbed” by how the SEC has “ignored” the fixed-income market.

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  SEC Comings and Goings: Canellos, Ceresney Named Co-Heads of Enforcement

  By Melanie Waddell, AdvisorOne  |  April 22, 2013

  SEC Chairwoman Mary Jo White has named her former colleague Andrew Ceresney and acting enforcement director George Canellos co-directors of the enforcement division.

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  Rep. Waters Reintroduces SEC User Fees Bill

  By Melanie Waddell, AdvisorOne  |  April 19, 2013

  Rep. Maxine Waters, D-Calif., on Friday made another go at allowing the SEC to collect user fees to fund advisor exams.

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  Congress Must Fix Advisor Exams Now: SEC’s Walter

  By Melanie Waddell, AdvisorOne  |  April 17, 2013

  The switching of advisors from SEC to state oversight under the Dodd-Frank Act is not “the final answer” to ensuring advisors are adequately examined, SEC Commissioner Elisse Walter told state securities regulators.

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  White Sworn In as SEC Chief; Walter, Paredes Likely Leaving SEC Soon

  By Melanie Waddell, AdvisorOne  |  April 10, 2013

  Interim Chairwoman Elisse Walter will remain at the agency as a commissioner, but it doesn't look like she'll be there for long, David Tittsworth of IAA said.

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  Mary Jo White Confirmed by Senate as SEC Chairwoman

  By James J. Green, AdvisorOne  |  April 8, 2013

  The former prosecutor was confirmed as SEC chief via unanimous consent.