SEC Chairman Mary L. Schapiro on SEC Effectiveness and the Regulation of Financial Planners

Stolz, Richard F.
August 2009
Journal of Financial Planning;Aug2009, Vol. 22 Issue 8, p16
Academic Journal
An interview with U.S. Securities and Exchange Commission (SEC) chairman Mary L. Schapiro is presented. She reveals that SEC has full agenda of investor protection-oriented proposals including the improvement of regulation in money market funds, target-date funds, and protections for customer. She notes the importance of consistency on standards governing financial services. Schapiro states that she learned to focus on efficiency and effectiveness on Bernard Madoff's Ponzi scheme.


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