Talking Point: SRO for Planners?
- Schapiro Speaks on Fiduciary, 12b-1s. // Investment Advisor;May2010, Vol. 30 Issue 5, p98
An interview with Mary Schapiro, chairman of the Securities and Exchange Commission (SEC), is presented. When asked about the result of the financial services reform, Schapiro notes the fiduciary role of investment advisors and brokers. She states that she will defend the fiduciary duty of both...
- HOW WELL IS SHE PROTECTING YOU? Rosato, Donna // Money;Mar2010, Vol. 39 Issue 2, p108
An interview with Mary Schapiro, commissioner of the Securities and Exchange Commission (SEC), is presented. When asked about the security measures undertaken to prevent another financial scandal similar to the Ponzi scheme created by fund manager Bernie Madoff, Schapiro says that the SEC...
- G-23 Change Would Bar Dealer Role-Switch. Hume, Lynn // Bond Buyer;2/10/2011, Vol. 375 Issue 33465, p6
The article reports on the proposed amendments to the Rule G-23 filed by the Municipal Securities Rulemaking Board (MSRB) to the Securities and Exchange Commission (SEC) that would forbid role switching among dealer-financial advisers (FAs) in the U.S. The proposal intends to ensure the highest...
- Regulators to shine light on dark pools? // MarketWatch: Financial Services;Sep2009, Vol. 8 Issue 9, p10
The article focuses on the move of financial regulators to address the rapid growth of trades conducted in dark pools in the U.S. It notes the impact of rapid growth trades on electronic crossing networks offering institutional investors of executing trades facility. Securities and Exchange...
- SEC to Revisit 12b-1 Fees--Again. Morgan, John // Money Management Executive;12/14/2009, Vol. 17 Issue 48, p1
The article reports on the plan of the U.S. Securities and Exchange Commission (SEC) to revise the controversial 12b-1 fees in mutual funds. It cites the statement of SEC Chairman Mary L. Schapiro regarding the need for revision in these charges. It states that income from 12b-1 fees are used by...
- Maintaining Ethics in the Move From Regulator to Regulated. Eisinger, Jesse // Pro Publica;2/1/2014, p19
The article discusses the appointment of Sheila Bair, who served under Presidents Bush and Obama as the head of the Federal Deposit Insurance Corp. as the director of the Spanish banking firm Santander. Critical issues in the country's financial industry are highlighted. Mary L. Schapiro, the...
- Toughening beneficial ownership disclosure. // Pensions & Investments;12/26/2011, Vol. 39 Issue 26, p12
An excerpt from remarks by Mary L. Schapiro, chairman of the U.S. Securities and Exchange Commission (SEC), at the December 15, 2011 Transatlantic Corporate Governance Dialogue in Washington, is presented.
- SEC seeks more money. Brush, Silla // Hill;3/12/2009, Vol. 16 Issue 29, p16
The article reports on the statement of U.S. Securities and Exchange Commission (SEC) Chairwoman Mary L. Schapiro claiming that the agency is in need for more funds to implement securities regulations and askin the Congress to allow it to access an additional $17 million in 2009.
- Rocking the Boat at the SEC. Gay, Chris // U.S. News Digital Weekly;11/30/2012, Vol. 4 Issue 48, p6
This article announces that Mary Schapiro would step down as head of the U.S. Securities and Exchange Commission.