Harvey Pitt’s Solution to SEC’s RIA Exam Shortfall
SEC Chairwoman Mary Jo White says third-party exams are a “creative idea,” but there are “a number of issues.” Ex-Chairman Pitt offers one solution.
Judge Blocks, Blasts SEC-Citigroup Settlement
Judge Jed S. Rakoff on Monday rejected a settlement negotiated between the SEC and Citigroup over a $1 billion mortgage fund and said that he could not determine whether the $285 million settlement was “fair, reasonable, adequate and in the public interest.”
Dodd Reform Bill POV: Harvey Pitt, Former SEC Chairman
Before the Senate passed its reform bill, the Restoring Financial Stability Act, on Thursday, May 20, former SEC Chairman Harvey Pitt, who's now the CEO of Kalorama Partners, detailed his viewpoints on financial services reform to Investment Advisor.
SEC Chairmen of Yore Speak
How can you fail to listen when six former SEC chairmen gather to talk about today's regulatory environment? During a roundtable discussion at SEC headquarters...