Mary Schapiro will become chairman and CEO of the NASD as of August 31, 2006 following current CEO Robert Glauber's earlier-than-scheduled departure from the regulator. Glauber is leaving to rejoin Harvard as a visiting professor at Harvard Law School, according to a July 26 announcement from NASD. Schapiro, 51, is currently vice chairman and president of NASD's regulatory policy and oversight division. Glauber joined NASD in 2000 from Harvard's Kennedy School of Government; he became chairman in 2001.
Secure the future of your business with customers from the largest generation in history.
Part II in a series of articles on working with ultra-high-net-worth clients from IMCA's Investments & Wealth Monitor takes a look at the biggest trends...
Maximize client retention and promote firm growth by using this 6 step interactive client review process.
Oct 05, 2016
Some broker-dealers have already decided to exit certain lines of business and are sizing up how the rule will impact their IT and compliance budgets....
Sep 21, 2016
Join Eric Ryles, Managing Director at Judy Diamond Associates, for a 60 minute session of mutual fund analysis within the Defined Contribution market. Using...
Sep 13, 2016
Nationwide is providing a deeper look into the rule’s implications and a discussion of decisions firms will need to make in order to comply.