SEC’s Top Cop, Khuzami, to Leave
The SEC’s top cop, Robert Khuzami, plans to leave the agency later this month after four years as its enforcement director, the SEC announced Wednesday.
Top 13 Regulatory Predictions for 2013
Former SEC Commissioner Annette Nazareth, who’s now with Davis Polk & Wardwell, and her colleague Gabriel D. Rosenberg released in early January their list of 13 key regulatory predictions for this year.
Will the DOL Finally Show that Fiduciary Advice Is Better Business?
Cornerstone of new proposal is expected to be “substantial economic analysis.”
The Jaws of Defeat
Taking time out over the holidays to reflect on the past year has become one of my favorite exercises.
Slow and Steady Wins the Reg
In 2013, FSI’s main priorities will be engaging politicians on relevant regulations and legislation, like the DOL's fiduciary rule, BDs’ independent contractor status as well as certain provisions of Dodd-Frank.
What’s All the Fuss About Schapiro?
By the time you read this, Elisse Walter (at least temporarily) has replaced Mary Schapiro as chairman of the SEC.
Three Washington Heavyweights to Drive Advisor Agenda in ’13
Three key Washington heavyweights will have a crucial role in advisors’ lives next year: Elisse Walter, the new SEC chairman; Rep. Jeb Hensarling, the incoming House Financial Services chairman; and Phyllis Borzi, at the DOL’s EBSA.
New SEC Chairwoman Walter Appoints Two Acting Directors
During her first day as the new chairman of the SEC, Elisse Walter appointed two acting directors, one to the Division of Corporation Finance and the other to Trading and Markets.
Poll Results: As SEC’s Schapiro Steps Down, Advisors Speak Up
Our AdvisorOne survey found some sentiment for Sallie Krawcheck, but gave regulators overall poor marks for protecting consumers and providing a level playing field.
Schapiro’s Senior Advisor, McHugh, Moves Over to Investment Management
One of SEC Chairwoman Mary Schapiro’s senior advisors, Jennifer McHugh, was named as senior advisor to Norm Champ, the director of the SEC’s Division of Investment Management.