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Tag "Mary Schapiro"

Fiduciary News Trending Topics for ERISA Plan Sponsors: Week Ending 9/16/11

Has the SEC screwed the pooch regarding the uniform fiduciary standard? Will the same politics infect the DOL’s proposed Fiduciary Rule and Fee Disclosure Rule?

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Time for SEC’s Schapiro to Resign?

A Play-by-Play citing media articles throughout the year showing how SEC Chair Mary Schapiro misplayed her strategy to hold the fiduciary standard hostage for more Congressional money.

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Fiduciary News Trending Topics for ERISA Plan Sponsors: Week Ending 5/6/11

The SEC finally admits 12b-1 is a priority, The Wall Street Journal finally explains why ETFs might not be ready for prime-time and InvestmentNews finally reveals why many financial advisers won’t be impacted at all by a uniform and stronger fiduciary standard. Still, there’s one article that sets all we’ve learned the past forty years so far back you won’t believe it.

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Readers Select Top Fiduciary Stories of 2009: #7 The SEC’s Statement on 12b-1 fees

SEC’s Mary Shapiro: “When it comes to 12b-1 fees, there is a need for more fundamental change than mere disclosure reforms and a name change.” FiduciaryNews’ exploration of this hot potato reveals a surprising misconception.

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Top Fiduciary Stories in 2009

The topsy-turvy 2009 provided some of the biggest fiduciary stories in years. Which do you think rates as the most important?

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3 Reasons the SEC’s New 12(b)-1 Stance May Increase 401k Fiduciary Liability

The SEC does the right thing, and some 401k fiduciaries may find they’ve been doing the wrong thing.

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