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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.   |
Registered Rep.
June 3, 2009
Halah Touryalai |
SEC Gives Investors a Voice. Will It Be Heard? Chances are the Securities and Exchange Commission announcement about its newly created Investor Advisory Committee will get plenty of eye rolls. |
On Wall Street
July 1, 2009
Mark Astarita |
The SEC's "Feel Good" Committee The Securities and Exchange Commission announces the formation of an Investor Advisory Committee, which it says will give investors a greater voice in its work. |
Registered Rep.
October 1, 2009
John Churchill |
SEC and CFTC Talk Reform The Securities Exchange Commission and the U.S. Commodity Futures Trading Commission announced Wednesday that they expect to release a report within two weeks that explains the regulatory responsibilities of each agency and recommends ways to improve their functioning. |
Registered Rep.
October 27, 2009
Halah Touryalai |
Schapiro: Don't Expect Respite From Reform Securities and Exchange Commission Chairman Mary Schapiro lays out a number of regulatory issues the SEC will be paying close attention to in the coming months. |
Investment Advisor
July 2009
Melanie Waddell |
Danger & Opportunity: Bracing for Change It looks to be all but inevitable that the rules for broker/dealers and investment advisors will be harmonized, and that broker/dealers offering investment advice will have to adhere to a fiduciary standard of care. |
CFO
February 1, 2009
Edward Teach |
The SEC under Schapiro Can Mary Schapiro restore investors' confidence in the beleaguered regulator? |
Investment Advisor
July 2010
Melanie Waddell |
A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward. |
Investment Advisor
October 2009
Melanie Waddell |
B/D News Broker/Dealer news from the Commodity Futures Trading Commission... USAdvisors Network... and the Lower Brule Sioux... |
Financial Planning
May 1, 2006
Lynn Hume |
Campos Mulls Law for Raters The SEC Commission member says it may be time to seek legislation that would give the SEC authority to regulate the nation's credit rating agencies. |
Registered Rep.
March 11, 2009
Halah Touryalai |
Extreme Makeover: SEC With or without an increased budget, the SEC wants to make up for its shortcomings. |
BusinessWeek
December 30, 2009
Jesse Westbrook |
Why the SEC Keeps Backpedaling New Chairman Schapiro could be caving in to business pressure. |
Investment Advisor
April 1, 2011
Melanie Waddell |
SEC Funding in the Budget Fight Crosshairs Commission may be the biggest casualty as lawmakers continue tussle over the federal budget |
Registered Rep.
September 15, 2011
Kristen French |
Schapiro: Republican SEC Reform Bills Could Hog Tie SEC SEC Chairman Mary Schapiro said that legislation introduced by Republicans to restructure the agency and its rulemaking process would threaten the agency's ability to write and enforce rules effectively. |
Investment Advisor
March 1, 2011
Melanie Waddell |
SEC Fiduciary Rule May Hit by Summer Despite the advisory industry's hopes that the Securities and Exchange Commission would get a quick start on writing a rule to put brokers under the same fiduciary standard as advisors, it looks as though a rulemaking could come by summer. |
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 |
Registered Rep.
May 10, 2007
Kristen French |
SEC Impostors on the Loose The SEC issued an alert to securities industry firms, warning them to keep an eye out for impostors -- individuals pretending to work for the SEC. |
BusinessWeek
August 26, 2010
James Sterngold |
Let a Thousand Regulators Bloom As agencies begin rewiring Wall Street, job openings abound. |
Investment Advisor
August 2008
Melanie Waddell |
Wheels of Blueprint In Motion The SEC and the Federal Reserve Board's recent Memorandum of Understanding marks a first step; but Congress says more stringent financial services regulations are warranted. |
Financial Planning
March 1, 2007
Lynn Hume |
The Bond Buyer SEC Votes on Rules for Rating Agencies: The proposed rules would implement provisions of the Credit Rating Agency Reform Act of 2006, which Congress approved and President Bush signed to foster increased competition, transparency and accountability among rating agencies. |
Investment Advisor
May 2010
David Tittsworth |
What a Reinvigorated SEC Will Mean for You The first in a series of occasional commentaries by the executive director of the Investment Adviser Association. |
CFO
October 1, 2011
Sarah Johnson |
Is the SEC Being "Set Up to Fail"? A bill would raise the threshold for how the securities regulator sets rules. |
Finance & Development
December 1, 2000
Cem Karacadag & Michael W. Taylor |
Toward a New Global Banking Standard: The Basel Committee's Proposals The Basel Committee's new capital framework proposals will have important implications for developed and developing countries alike. Although many details remain to be worked out, it is not too early for countries to start preparing for the proposals' implementation. |
Investment Advisor
September 2008
Melanie Waddell |
Turf Wars A conversation with former SEC Commissioner Roel Campos about the Treasury's Blueprint for financial services reform. |
Investment Advisor
September 2010
Melanie Waddell |
Washington Watch: Industry Heeds SEC's Call for Comments SEC flooded with comments on fiduciary standard; 'fiduciary forum' on September 24. |
U.S. Banker
October 2007
Karen Krebsbach |
Doing the Regulatory Revamp Dance America's bank-regulatory system is once again under the microscope, but for the first time in decades, it is under serious consideration for reorganization. |
CFO
December 1, 2011
Alix Stuart |
Smoothing the IPO Path A new SEC committee wants to help smaller companies find less costly ways to raise capital. |
Investment Advisor
October 2009
Melanie Waddell |
Danger & Opportunity: Financial Services Reform Bill Inevitable Financial services reform is still alive and kicking, as President Obama made very clear as he renewed his push for reforms during his speech to Wall Street. |
Investment Advisor
September 2009
James J. Green |
Fiduciary Committee Huddles with SEC The Committee for the Fiduciary Standard held face-to-face-meetings with two SEC Commissioners, Congressional staffers, and a Treasury Department official to discuss the Committee's five fiduciary principles. |
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. |
BusinessWeek
February 10, 2011
Robert Schmidt |
Starving the Regulators The SEC and the Commodity Futures Trading Commission are in a severe budget squeeze, and layoffs may be the only answer |
Bank Systems & Technology
March 27, 2008
Mike McDonough |
Centralized and Single-Platform Operations Reduce Overall Trade Finance Risk Banks with centralized operations and banks with all of their operations on a single platform will have a distinct advantage because there is lower operational risk generally associated with these structures. |
The Motley Fool
October 26, 2009 |
Ask the U.S. Treasury: A Call for Fools' Questions Financial reform remains center-stage. |
Investment Advisor
November 2007
Melanie Waddell |
On the Agenda: Insurance and Ratings Congress looks at insurance reform and the subprime mess. |
Entrepreneur
January 2005
Stephen Barlas |
Take a Peek If you want to look ahead at the small-business agenda as the new session of Congress gets underway, it helps to look back. |
Investment Advisor
April 2008
Elizabeth D. Festa |
FINRA and SEC Look to Build Bridges Seminars for chief compliance officers includes recommendations for keeping the lines of communication open between broker firms, the Financial Industry Regulatory Authority, and the Securities and Exchange Commission. |
Registered Rep.
March 10, 2011
Kristen French |
SEC Says Bigger Budget Is Supported By BCG Report In testimony before Congress Thursday, SEC Chairman Mary Schapiro made a case for an increase in the agency's funding to $1.407 billion for 2012. |
Investment Advisor
August 2009
Bob Clark |
Clark at Large: Something About Mary The drive to reregulate financial advice shifted into high gear on June 17, when the Obama Administration released its white paper containing proposals for 21st Century Financial Regulatory Reform, and passes it to SEC chair Mary Shapiro. |
Bank Director
2nd Quarter 2011
Naomi Snyder |
A New Mandate for Risk Management The financial crisis revealed serious risk management deficiencies throughout the banking industry, and now the feds are forcing boards to accept direct responsibility for the risks their institutions take. |
Registered Rep.
September 2, 2009
John Churchill |
SEC Blew It With Madoff, Inspector General Says SEC Chairman Mary Schapiro announced the release today of the Office of the Inspector General's report on the Bernard Madoff fraud. It says, in short, the SEC screwed up in every way possible. |
Investment Advisor
June 1, 2011
Melanie Waddell |
Schapiro Says SEC to Focus in July on Fiduciary, 12b-1 The Commission will look at fund regulation "in tandem" with RIA/BD reform. |
AFP eWire
February 28, 2005 |
AFP Actively Participates in a Nonprofit Panel Responding to the U.S. Senate Finance Committee's Roundtable Discussion AFP President and CEO Paulette Maehara suggested to the Committee that the single most effective means of decreasing abuses in the nonprofit sector could be outlawing percentage-based compensation for fundraising activities. |
OCC Bulletin
December 6, 2000 |
Risk-Based Capital The Agencies are proposing to modify the risk-based capital treatment on claims against certain securities firms. The proposal would reduce the risk weight on claims on, or guaranteed by, qualifying securities firms to 20 percent from 100 percent... |
Investment Advisor
March 2009
Melanie Waddell |
Reform Is on the Way SEC Chairwoman Mary Schapiro is laying the groundwork for a significantly beefed up enforcement division at the Commission. |
Registered Rep.
November 1, 2004
Anne Field |
Gunning for College As more investors put their faith in 529 plans, the stakes rise for those who are supposed to be protecting them, and agencies like the NASD and the SEC have jumped into the fray with gusto. |
Investment Advisor
April 1, 2011
Melanie Waddell |
GOP's End Game in Nixing SEC Funds: Stopping Dodd-Frank Republicans' rehashing of supposed failures at the SEC is 'counter-productive,' says former Chairman Harvey Pitt |
Chemistry World
March 1, 2010
Rebecca Trager |
US launches new regulatory science program Two major US government agencies have partnered to create a new regulatory science program to ensure better integration between cutting edge science and regulatory processes in assessing new medical products or compounds flowing from biomedical research. |
Investment Advisor
April 1, 2011 |
SEC and the Fiduciary Study: Politics and the Fiduciary Standard AdvisorOne Wealth Editor Kate McBride explains the political process under which Dodd Frank was passed, up to the SEC's reports on an SRO and fiduciary standard |
Bank Systems & Technology
October 16, 2008
Maria Bruno-Britz |
ABA Introduces New AML Framework The American Bankers Association has unveiled a plan it says will help banks in the fight against money laundering. |
Bank Director
2nd Quarter 2010 |
Risk Management Tops Audit Committee's Stress List Highlights of the latest quarterly research in conjunction with Grant Thornton LLP. |
