Schapiro

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  SEC Names Two to Trading and Markets Division, Appoints New Deputy Chief of Staff

  By Melanie Waddell, AdvisorOne  |  May 21, 2012

  The SEC recently announced three executive appointments, including a new post, managing executive of the Division of Trading and Markets.

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  SEC Names Blizzard to Head Investment Advisor Regulation

  By Melanie Waddell, AdvisorOne  |  April 23, 2012

  The SEC has named Diane Blizzard associate director for regulatory policy and investment adviser regulation in the Division of Investment Management, replacing Robert Plaze.

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  SEC’s Schapiro to Congress: Budget Boost Needed to Modernize EDGAR, Add Staff

  By Melanie Waddell, AdvisorOne  |  March 6, 2012

  SEC chairman says 676 new employees could be added under Obama budget request; agency reviewing regional offices.

• Fiduciary Study Under Way, but Harmonization Looms

  By Melanie Waddell, AdvisorOne  |  November 1, 2010

  At press time, the mid-term elections are upon us--which means there's a good chance the House will flip to a Republican majority.

• SEC Chair Repeats Strong Support for Fiduciary Duty

  By Kathleen McBride, AdvisorOne  |  January 15, 2010

  "Broker-Dealers and Investment Advisers Should be Subject to the Same Fiduciary Standard of Conduct and Heightened Regulatory Regime When Providing the Same or Substantially Similar Services," she

• Schapiro unveils oversight agenda

  By Jenny Ivy  |  March 26, 2009

  Securities and Exchange Commission Chairman Mary Schapiro announced Thursday she is drafting plans to toughen oversight of investment advisors who have custody of client assets. In...