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.
Access complimentary resources from Cambridge Investments to help navigate the fiduciary rule changes.
If you’re thinking of changing broker-dealers, you owe it to yourself to read this article that covers all major aspects of the transition process.
This White Paper outlines the immediate actions firms can take to correct outdated and costly supervision procedures.
Sep 27, 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 20, 2016
This webcast will review the key aspects of the amendments and the steps that funds and intermediaries can take in order to comply with the...
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.