Familiar Face Returns to SEC as Two Commissioners Plan Exit
A familiar face with deep roots on Wall Street has returned to the Securities and Exchange Commission to help the agency draft its fiduciary rulemaking just as two agency commissioners are planning to exit.
Bernie Madoff: Making Your Job Harder—The 2015 IA 35 for 35
Five years after Madoff was sentenced to 150 years in prison for conducting the biggest Ponzi scheme in history, investor confidence still hasn’t fully recovered.
20 Best & Worst Cities to Start a Career
WalletHub analysis determines which cities offer new grads the most opportunity, personally and professionally, and which cities they should avoid.
Fiduciary Duty Concept Release Likely by Summer: Ex-SEC Exec
The SEC may likely issue a concept release this summer regarding putting brokers under a fiduciary mandate, Andrew “Buddy” Donohue, the former director of the SEC’s Division of Investment Management, said Monday.
Eileen Rominger, SEC: The Extended 2011 IA 25 Profile
Introducing Eileen Rominger to a room full of compliance professionals, David Tittsworth coaxed laughter from the audience when he said, “I think it’s fantastic that she’s not an attorney. She’s a real portfolio manager!”
SEC Appoints New Head of Investment Management
The SEC has selected Eileen Rominger as its new Director of Investment Management, replacing Andrew “Buddy” Donohue, who left the post in November 2010.
As SEC Loses Two Key Directors, a Replacement Is Named
As the SEC loses two key players from its team--Buddy Donohue and Henry Hu--Jennifer McHugh will take over for Donohue.
Buddy Donohue, SEC's Investment Management Director, to Leave Agency in November
Andrew "Buddy" Donohue, director of the Securities and Exchange Commission's Division of Investment Management, is leaving the agency in November.
12b-1 fee reform dead (for now)
"As far as 12b-1 fees are concerned, it will go a long way if we just call them what they are, which are a fee...
? The SEC and FINRA are hosting five regional CCOutreach BD regional seminars beginning May 13 for broker/dealer firms. The seminars will feature panelists from...