Mary Schapiro

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  Four More Years? Fiduciary Proponents Need to Regroup

  By Knut A. Rostad  |  January 10, 2013

  To prevent four more years of fiduciary gridlock in Washington, proponents of the fiduciary standard for all need to regroup. Proposed: four steps to change the discussion.

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  SEC’s Top Cop, Khuzami, to Leave

  By Melanie Waddell, AdvisorOne  |  January 9, 2013

  The SEC’s top cop, Robert Khuzami, plans to leave the agency later this month after four years as its enforcement director, the SEC announced Wednesday.

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  Top 13 Regulatory Predictions for 2013

  By Melanie Waddell, AdvisorOne  |  January 8, 2013

  Former SEC Commissioner Annette Nazareth, who’s now with Davis Polk & Wardwell, and her colleague Gabriel D. Rosenberg released in early January their list of 13 key regulatory predictions for this year.

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  Will the DOL Finally Show that Fiduciary Advice Is Better Business?

  By Bob Clark, AdvisorOne  |  December 27, 2012

  Cornerstone of new proposal is expected to be “substantial economic analysis.”

• The Jaws of Defeat

  By Bob Clark, AdvisorOne  |  December 21, 2012

  Taking time out over the holidays to reflect on the past year has become one of my favorite exercises.

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  Slow and Steady Wins the Reg

  By John Sullivan, AdvisorOne  |  December 21, 2012

  In 2013, FSI’s main priorities will be engaging politicians on relevant regulations and legislation, like the DOL's fiduciary rule, BDs’ independent contractor status as well as certain provisions of Dodd-Frank.

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  What’s All the Fuss About Schapiro?

  By James J. Green, AdvisorOne  |  December 21, 2012

  By the time you read this, Elisse Walter (at least temporarily) has replaced Mary Schapiro as chairman of the SEC.

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  Three Washington Heavyweights to Drive Advisor Agenda in ’13

  By Melanie Waddell, AdvisorOne  |  December 19, 2012

  Three key Washington heavyweights will have a crucial role in advisors’ lives next year: Elisse Walter, the new SEC chairman; Rep. Jeb Hensarling, the incoming House Financial Services chairman; and Phyllis Borzi, at the DOL’s EBSA.

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  New SEC Chairwoman Walter Appoints Two Acting Directors

  By Melanie Waddell, AdvisorOne  |  December 17, 2012

  During her first day as the new chairman of the SEC, Elisse Walter appointed two acting directors, one to the Division of Corporation Finance and the other to Trading and Markets.

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  Poll Results: As SEC’s Schapiro Steps Down, Advisors Speak Up

  By James J. Green, AdvisorOne  |  December 13, 2012

  Our AdvisorOne survey found some sentiment for Sallie Krawcheck, but gave regulators overall poor marks for protecting consumers and providing a level playing field.