Elisse Walter

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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.

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  White Pledges to Weigh Cost of Fiduciary Rule as Ketchum Revives SRO Fight

  By Melanie Waddell, AdvisorOne  |  April 1, 2013

  Just as incoming Securities and Exchange Commission (SEC) Chairwoman Mary Jo White has pledged to lawmakers that she would carefully weigh the costs of a fiduciary rulemaking, Richard Ketchum, CEO of the Financial Industry Regulatory Authority (FINRA), is renewing his call for a self-regulatory organization to oversee advisors.

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  Mary Jo White to Focus on Fiduciary Issue at SEC

  By Melanie Waddell, AdvisorOne  |  March 11, 2013

  Mary Jo White plans to testify before Senate Banking on Tuesday that regulating advisors and BDs is an "important" issue that she intends to focus on as SEC chairwoman.

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  Mary Jo White Hearing Set for March 12

  By Melanie Waddell, AdvisorOne  |  March 6, 2013

  The Senate Banking Committee will hold a hearing Tuesday to consider the nomination of Mary Jo White as the next SEC chairwoman.

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  SEC Finds Significant Custody Violations

  By Melanie Waddell, AdvisorOne  |  March 4, 2013

  The SEC issued Monday a risk alert on compliance with its custody rule for investment advisors as well as an investor bulletin about the rule.

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  SEC Issues Public Comment Request on Fiduciary Rule

  By Melanie Waddell, AdvisorOne  |  March 1, 2013

  Nearly a year after saying it would, the SEC on Friday published its request for public comment on its rule to put brokers under a fiduciary mandate.