Harvey Pitt

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  Mary Jo White: The 2013 IA 25 Extended Profile

  By Melanie Waddell, AdvisorOne  |  April 30, 2013

  All eyes will be on new SEC Chairwoman Mary Jo White as she takes the helm and decides which rulemakings to tackle first.

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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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  SRO Is Key to Boosting Advisor Exams: Former SEC Chief Pitt

  By Melanie Waddell, AdvisorOne  |  March 7, 2013

  The SEC “can’t handle” examining advisors, Harvey Pitt said at the Investment Adviser Association conference.

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  Obama Names SEC’s Walter as Schapiro’s Replacement

  By Melanie Waddell, AdvisorOne  |  November 26, 2012

  While Elisse Walter, an SEC commissioner, was selected by President Obama to succeed Schapiro, industry officials speculated that Walter will serve as an acting chairman until the president selects a permanent chairman at a later date.

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  SEC’s Schapiro to Step Down in December

  By Melanie Waddell, AdvisorOne  |  November 26, 2012

  After months of speculation that she would depart, Schapiro made it official Monday morning that she would depart the agency on Dec. 14; with a frontrunner emerging from Treasury Department.

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  Breach of Fiduciary Duty Most Common FINRA Complaint

  By Melanie Waddell, AdvisorOne  |  October 23, 2012

  While attending the last in a series of events to celebrate what the Institute for the Fiduciary Standard christened as Fiduciary September, one comment stood out: The No. 1 compliant in FINRA arbitration cases is breach of fiduciary duty.

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  Breach of Fiduciary Duty No. 1 Complaint in FINRA Arbitration Cases

  By Melanie Waddell, AdvisorOne  |  September 25, 2012

  Experts including former SEC Chairman Harvey Pitt and Ron Rhoades debated whether brokers should be held to the same fiduciary standard as advisors.

• The Heat Rises on FINRA as Advisor SRO

  By Melanie Waddell, AdvisorOne  |  June 26, 2012

  Just as a government watchdog is pressuring the Securities and Exchange Commission (SEC) to beef up its oversight of the Financial Industry Regulatory Authority (FINRA), Congress is mulling whether to give FINRA the power to oversee advisors.

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  Rymer Named Interim IG at SEC

  By Marlene Y. Satter, AdvisorOne  |  May 31, 2012

  Rymer, who currently serves as inspector general of the FDIC, will serve as interim inspector general of the SEC until a permanent successor can be found.

• The Client. The Client. The Client.

  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.”