Harvey Pitt

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  At Bogle Event, Former SEC Chairmen Agree on Fiduciary Standard—With Caveats

  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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  Judge Blocks, Blasts SEC-Citigroup Settlement

  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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  New Hire Roundup: Dubois and Wassmann Join LPL; Jenks Goes to Putnam; Adams to EBRI

  By Marlene Y. Satter, AdvisorOne  |  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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  Top 4 Dodd-Frank Concerns as Law Enters Second Year

  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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  Harvey Pitt Assails Dodd-Frank at Indexing Conference

  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.

• Schapiro Defends Denial of Freedom of Information Act Requests

  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...

• SEC Chief Schapiro Talks About Market Structure, 'Flash Crash'

  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.

• Market Structure Is the Topic for SEC Speech

  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.

• Dodd Reform Bill POV: Harvey Pitt, Former SEC Chairman

  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.

• News: SEC's Top Cop

  By James J. Green, AdvisorOne  |  March 1, 2009

  Linda Chatman Thomsen, the director of the SEC's Division of Enforcement, said February 9 that she would leave the Commission and return to the private...