Lori Richards

• SEC's Exam Division Gets New Director

  By Melanie Waddell, AdvisorOne  |  January 5, 2010

  The SEC has appointed Carlo V. di Florio as director of the agency's embattled Office of Compliance Inspections and Examinations, which received a lot of scrutiny from Congress and the industry for failing to detect the Bernie Madoff Ponzi scheme.

• Changes

  By Staff Writer  |  August 1, 2009

  ? Ram Subramaniam has been named managing director and head of products at TD Ameritrade. In his new position, Subramaniam will report to Peter Sidebottom,...

• Lori Richards Leaving SEC

  By Melanie Waddell, AdvisorOne  |  July 8, 2009

  Head of OCIE's departure may signal changes for the exam division.

• SEC Officials Speak Out on Compliance and a New SRO

  By Melanie Waddell, AdvisorOne  |  March 13, 2009

  Exam priorities, harmonization of B/D and advisor rules, and reinstating uptick rule in the spotlight

• The Playing Field: Reform Is on the Way

  By Melanie Waddell, AdvisorOne  |  March 1, 2009

  As new Treasury Secretary Timothy Geithner was preparing to announce a four-pronged revamp of the bank bailout package--which would include a "bad bank" that allows...

• Where is the SEC headed in 2009?

  By David Thetford  |  January 1, 2009

  The financial crisis has undoubtedly put a stronger focus on regulation in the securities industry. As financial professionals and organizations plot their course for 2009,...

• FINRA and SEC Look to Build Bridges

  By Elizabeth D. Festa  |  April 1, 2008

  Keeping the lines of communication open between broker firms and the regulating agencies of the Financial Industry Regulatory Authority and the Securities and Exchange Commission...

• The New Paradigm

  By Staff Writer  |  February 1, 2008

  On the face of it, the idea of marrying operations and compliance seems natural. But such a marriage is not about combining two separate functions...

• Group Think

  By Staff Writer  |  May 1, 2007

  Lori Richards, director of the SEC's Office of Compliance Inspections and Examinations (OCIE), announced April 16 the release of an online compliance tool, called the...

• The Semifinalists

  By Staff Writer  |  May 1, 2007

  Following suggestions from our regular contributors, nominations from within the industry, and the editorial staff's own personal submissions, this is the list of semifinalists from...