Practising Law Institute

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  SEC’s Champ Outlines ‘IM Moving Ahead’ Initiative

  By Melanie Waddell, AdvisorOne  |  February 23, 2013

  The director of the SEC's Division of Investment Management said Friday that his division had launched an “IM Moving Ahead” initiative to assess where the division had “gaps” and to help the division identify its policy priorities.

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  SEC’s Gallagher: Supervisor Definition Remains ‘Disturbingly Murky’

  By Melanie Waddell, AdvisorOne  |  February 27, 2012

  SEC Commissioner Daniel Gallagher signaled that he’d like the securities regulator to develop “clearer guidance” on the issue.

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  SEC’s Schapiro: ‘I Still Strongly Believe’ in Fiduciary Mandate for Brokers

  By Melanie Waddell, AdvisorOne  |  February 24, 2012

  Schapiro also said it’s time for the agency to “take the next step” in reforming money market funds. Money market funds, she said, “remain susceptible to runs; we need to move forward in addressing these structural risks.”