Kathleen Casey

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  Reaction to SEC’s Fiduciary Study Is Entwined With Politics

  By Kathleen McBride, AdvisorOne  |  January 24, 2011

  The SEC’s Study on Investment Advisers and Broker-Dealers, which was released to Congress Friday night, has brought reaction or comment from some industry groups that, so far, are lining up in fairly predictable ways.

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  SEC Tells Congress It Will Proceed With Uniform Fiduciary Standard for Brokers, Advisors

  By Melanie Waddell, AdvisorOne  |  January 22, 2011

  The SEC told Congress that it would move forward in creating a new uniform fiduciary standard of care for broker-dealers and investment advisors when providing advice to retail customers.

• SEC Commissioner: Rules between advisors and broker/dealers need to be "harmonized"

  By Staff Writer  |  January 15, 2009

  SEC Commissioner Kathleen Casey believes rules for investment advisors and broker/dealers are out of sync. Casey said Wednesday she "strongly believed" that rules needed to...

• CHANGES

  By Staff Writer  |  August 1, 2006

  There have been several comings and goings at the Securities and Exchange Commission. Kathleen Casey was confirmed by the Senate on June 15 to replace...

• CHANGES

  By Staff Writer  |  July 1, 2006

  The Securities and Exchange Commission announced that Susan Ferris Wyderko, director of the Office of Investor Education and Assistance, will leave the Commission. She will...