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Investment Advisor
May 2009 |
Groupthink Financial industry news: Financial Planning Association accepting nominations for 2010 Board of Directors... NAVA hires Lee Covington as senior VP... An initiative to educate key legislators on the issues facing the independent B/D community...   |
Investment Advisor
April 2007 |
Changes-April 2007 New York Life Insurance Company announced that Christopher Blunt was appointed senior VP and COO... Jonathan Spector, vice dean of The Wharton School at the University of Pennsylvania, was named president and CEO of The Conference Board... etc. |
Investment Advisor
April 2009 |
Group Think News from FINRA, IAA, NAVA, NAPFA, and NAIFA |
Investment Advisor
February 2009
Melanie Waddell |
Is Mary What the SEC Needs? The alternative to FINRA overseeing advisors, and what advisors would definitely prefer, is a self-regulatory organization. |
CFO
February 1, 2009
Edward Teach |
The SEC under Schapiro Can Mary Schapiro restore investors' confidence in the beleaguered regulator? |
Insurance & Technology
August 19, 2010
Katherine Burger |
ING Insurance U.S. Names New CIO Gary Baxter - previously from head of IT, ING U.S. Retirement Services, ING Individual Retirement, and company's closed block of business - will oversee technology investments and IT operations across all U.S. business lines. |
BusinessWeek
May 20, 2010 |
This Cop's Beat Is Wall Street George Canellos left private practice 10 months ago to take over the New York office of the Securities & Exchange Commission |
Investment Advisor
May 2007 |
Changes ING announced that Randall Ciccati, president and CEO of PrimeVest Financial Services, replaced Valerie Brown... Jeffrey Kleintop has joined LPL Financial Services as senior VP... etc. |
Investment Advisor
January 2010 |
Broker/Dealer News New developments from The Insured Retirement Institute, Morningstar, and Financial Research Corp.: Insured Retirement Institute praises Mary Shapiro... Morningstar's new credit ratings... New study from Financial Research Corp... |
On Wall Street
August 1, 2009
Mark Astarita |
Changes at the SEC: Schapiro Should Be Benefit to Advisors One can expect that as head of the SEC Mary Schapiro will understand the impact of new rule proposals and enforcement initiatives and will temper the calls for more extreme changes that would ultimately harm the markets and the financial industry. |
CFO
June 1, 2009
Reason & Stuart |
Crackdown Alert After a GAO report documents a slowdown in the SEC's case generation and penalty volume under former chairman Christopher Cox, the regulator's new leaders talk tough. |
Financial Planning
February 1, 2005
Jennifer A. Liptow |
On the Job Who's going where, when: Stuart Rogers has been named senior vice president of corporate... John Kennedy has joined New York-based AXA Distributors as senior vice president... etc. |
Investment Advisor
September 2008
Melanie Waddell |
SEC, DOL to Share Data The SEC and Department of Labor agree to share information on retirement and investments in an effort to protect the $5.8 trillion in retirement assets of American workers. |
Investment Advisor
March 2009
James J. Green |
News: SEC's Top Cop Linda Chatman Thomsen, the director of the SEC's Division of Enforcement, said February 9 that she would leave the Commission and return to the private sector. |
Investment Advisor
February 2009
Melanie Waddell |
Mary Schapiro's Priorities Mary Schapiro tells the Senate Banking Committee what her priorities will be at the SEC. |
Investment Advisor
April 2009
Melanie Waddell |
All About Enforcement It's seems a daily occurrence now that the Securities and Exchange Commission levies an enforcement action against a financial services firm |
Investment Advisor
October 2008
Marlene Y. Satter |
Changing of the Guard Catherine Weatherford, long-time executive vice president and CEO, will be leaving her post after the 2008 Fall National meeting. |
Registered Rep.
January 27, 2010
David A. Geracioti |
The SEC "Reforms" Money Market Funds but Votes to Allow Funds to Suspend Redemptions So now the SEC can decide when your client may take his or her money out of an investment? |
BusinessWeek
May 14, 2009
Maria Bartiromo |
SEC Chief Mary Schapiro: The Watchdog's New Teeth A discussion with with the new SEC Chief Mary Schapiro. |
BusinessWeek
December 30, 2009
Jesse Westbrook |
Why the SEC Keeps Backpedaling New Chairman Schapiro could be caving in to business pressure. |
CFO
March 1, 2004
Kris Frieswick |
Bar Hopping Already considered one of the most severe civil penalties for securities violations, officer and director (O/D) bars have been embraced by the Securities and Exchange Commission with a new zeal. |
Investment Advisor
August 2009
Melanie Waddell |
Congress Presses Schapiro to Protect Investors While members of Congress praised SEC Chairman Schapiro for acting quickly to institute changes at the agency, lawmakers said more work needs to be done to protect investors. |
CFO
November 1, 2009
Alix Stuart |
An Agency Ready to Roar? The SEC under new chief Mary Schapiro has gotten off to a slow start on the enforcement front, but attorneys expect a burst of energy in 2010. |
