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By James J. Green, AdvisorOne |
March 1, 2012
The last words of General of the Army Douglas MacArthur’s farewell speech at West Point went like this: “…when I cross the river, my last conscious thoughts will be of the Corps, the Corps, the Corps.”
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By James J. Green, AdvisorOne |
January 31, 2012
Harvey Pitt, David Ruder, Arthur Levitt say brokers should have a fiduciary standard: SIFMA’s Ryan agrees.
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By Marlene Y. Satter, AdvisorOne |
November 29, 2011
Judge Jed S. Rakoff on Monday rejected a settlement negotiated between the SEC and Citigroup over a $1 billion mortgage fund and said that he could not determine whether the $285 million settlement was “fair, reasonable, adequate and in the public interest.”
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By Marlene Y. Satter |
November 2, 2011
This week in new hires, Dubois and Wassmann join LPL; Stephen Jenks went to Putnam Investments; Nevin Adams joined EBRI; Donald L. McDonald became CEO at Prime Advisors; HighTower brought in Ann Rieder; and Barclays added 6 new advisors.
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By Melanie Waddell, AdvisorOne |
July 21, 2011
For advisors, four issues will take the spotlight as the Dodd-Frank reform bill enters its second year—fiduciary duty, an SRO for advisors, harmonization, and adequate funding for the SEC.
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By Ronald Delegge, ETFguide.com |
December 6, 2010
Harvey Pitt, a former Chairman of the Securities and Exchange Commission, took shots at the Dodd-Frank Act on Monday, speaking on the first day of the Super Bowl of Indexing conference held in Phoenix.
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By John Sullivan, Advisorone |
September 16, 2010
Securities and Exchange Commission Chairman Mary Schapiro defended a controversial part of the new Wall Street reform law as "central to our ability to develop...
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By Kathleen McBride, AdvisorOne |
September 7, 2010
SEC Chair Mary L. Schapiro spoke about "Strengthening Our Equity Market Structure" to The Economic Club of New York on September 7.
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By Kathleen McBride, AdvisorOne |
September 7, 2010
SEC Chair Mary Schapiro spoke about "Strengthening Our Equity Market Structure" to The Economic Club of New York on Tuesday, September 7.
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By Pov |
May 21, 2010
Before the Senate passed its reform bill, the Restoring Financial Stability Act, on Thursday, May 20, former SEC Chairman Harvey Pitt, who's now the CEO of Kalorama Partners, detailed his viewpoints on financial services reform to Investment Advisor.
