Mary Schapiro

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  Bogle: Fiduciary Duty Comes Down to ‘Simple Mathematics’

  By Melanie Waddell, AdvisorOne  |  November 8, 2012

  John Bogle, founder of Vanguard, takes issue with big fund companies’ denial that investors are aware that cost matters.

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  In Election’s Wake: What Now for Advisors?

  By John Sullivan, AdvisorOne  |  November 8, 2012

  TDAI offers some insight to changes at SEC, key congressional committees and 401(k)s.

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  The Morning After…

  By David Tittsworth, IAA  |  November 7, 2012

  Now that the election is over, how can we move the ball forward—for your businesses and your clients—during the coming months and weeks?

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  After Obama Victory, How the New Government Is Shaping Up for Advisors: Updated

  By James J. Green, AdvisorOne  |  November 7, 2012

  Some notable newcomers—Elizabeth Warren, for one—join Congress, which remains divided between the two parties as fiscal cliff, tax issues come to fore of national agenda. FPA and FSI's leaders and lobbyists weigh in on what's next.

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  In Money Market Fund Reform, FSOC Must Act Carefully: Dechert

  By Melanie Waddell, AdvisorOne  |  November 1, 2012

  Treasury Secretary Geithner's proposal seeks to have the FSOC make recommendations for fund reform before it has established a fair process, Dechert says.

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  Should Brokers Be Forced to Disclose Their Bonuses to Clients?

  By Gil Weinreich, AdvisorOne  |  October 30, 2012

  SEC Chairwoman Mary Schapiro in 2009 wrote a letter to broker-dealer CEOs warning them about recruiting brokers with high upfront bonuses.

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  SEC's Gallagher: Fiduciary Rule Needs More Study; Failure to Supervise Should be Focus

  By Melanie Waddell, AdvisorOne  |  October 30, 2012

  As SEC Chairwoman Mary Schapiro was stating last week her belief that the agency could issue a proposed rule to put brokers under a fiduciary mandate next year, the newest SEC commissioner, Daniel Gallagher, declared that the SEC must first determine if such a rule is “necessary,” stating the agency...

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  Principles vs. Rules: The Fiduciary Debate in a Nutshell

  By James J. Green, AdvisorOne  |  October 25, 2012

  At TD Ameritrade conference, CFA's Roper, IAA's Tittsworth and SIFMA's Carroll agree, disagree and look ahead at fiduciary standard, SRO for RIAs.

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  SEC’s Schapiro Expects Fiduciary Standard Proposal in 2013

  By Joyce Hanson, AdvisorOne  |  October 23, 2012

  "The passage of time has not discouraged me at all," Schapiro said at SIFMA's annual meeting on Wednesday. "The devil is in the details, but I’m more confident that we will get it done, not less.”

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  TD’s Nally: HNW Investors Choosing RIAs Because of Fiduciary Standard

  By James J. Green, AdvisorOne  |  October 23, 2012

  But TD Ameritrade custodial unit's president warns that a watered-down fiduciary standard will strip RIAs of a competitive edge.