Elisse Walter

• SEC Asks for Feedback on Advisers

  March 8, 2013

  When it comes to the type of advice investment advisers and broker-dealers give, the SEC wants to know if new rules are needed to ensure that the information they’re sharing fits with their clients’ needs.

• Investors Asked to Weigh in More on Advisers, Broker-Dealer Conduct

  By Michelle Samaad  |  March 5, 2013

  Regulator wants investor input on whether new regulations are needed.

• More SEC Officials to Leave Agency

  By Michelle A. Samaad  |  December 27, 2012

  On the heels of the announcement that SEC Chairman Mary Schapiro would be leaving the agency on Dec. 14, other officials followed suit.

• SEC Will Pursue Fiduciary Rule in 2013

  By Melanie Waddell  |  December 4, 2012

  Other priorities next year will include hiring more examiners to police advisers, JOBS Act rulemaking on Reg D, crowdfunding.

• Elisse Walter to Become New SEC Chairman

  By Michelle A. Samaad  |  November 27, 2012

  A current SEC commissioner who has worked at the agency in several capacities, Elisse Walter has been tapped to become the new SEC chairman.

• SEC to Hold Municipal Securities Hearing

  By Michelle Samaad  |  July 20, 2011

  SEC to hold hearing in Alabama