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July 22, 2009, Featured Articles, Regulations/Legal , Advisors/Planners/Reps
Hold Brokers and Advisors to One Standard, SEC Chief Says
Mary Schapiro told Congress she favors requiring broker-dealers and investment advisers to act solely in the interests of their clients when providing advice.
In testimony before a House subcommittee July 14, SEC chairman Mary L. Schapiro emerged as a regulatory hawk,
displaying much more passion for government oversight of the securities business than she did in her previous job as head of the Financial Industry Regulatory Authority, or FINRA.
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